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| SECTION 5. PERFORMANCE|APPRAISALS,|RECOGNITION AND
AWARDS
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DATE 02-21-2007 BY 60324 AUC BAW/CPB/STP
| 5-1 PERFORMANCE|APPRAISAL|SYSTEM |(PAS)|(See MAOP, Part 1, 21-2(4); &
Legal Attache Manual, 4-2.)
I The|PAS|was designed to integrate the performance-related
facets of personnel management. It encompasses not only performance
| appraisal, but also | employee development and | performance-based
| personnel decisions | such | as promotions, | Office of Preference!
transfers, within-grade and quality step increases, and superior
| accomplishment awards. The | PAS | covers all non-Senior Executive
Service employees.
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5-1.1 Purpose
I The purpose of the | PAS | is to provide a tool for executing
basic management and supervisory responsibilities by:
(1) Communicating and clarifying agency goals and
objectives;
(2) Identifying individual accountability for the
accomplishment of organizational goals and objectives;
(3) Evaluating and improving individual and
| organizational accomplishments;
I (4) | Evaluating employees' development needs and providing
| them with guidance and/or resources to help them improve their
| performance; and |
I | (5) | Using the results of performance appraisal as a
basis for adjusting basic salary, determining performance awards,
training, rewarding, reassigning, promoting, reducing in grade,
retaining, and removing employees.
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|5-1.1.1 An Overview of the PAS
The FBI has developed a PAS designed to ensure an effective
and fair performance appraisal process. This system is designed both
to create a partnership between "employees and supervisors in the
performance appraisal process and to focus on the developmental
aspects of employee performance.
(1) Definitions
Under the PAS, FBI JOB TITLES (with the exception of those
found only in the Senior Executive Service) have been categorized into
JOB FAMILIES, or groups of jobs, where similar work is performed.
These job families are an important part of the PAS because each
employee's performance is evaluated based on the critical elements
identified for his/her job family.
CRITICAL ELEMENTS, are the rating components that will be
used to evaluate employees' performance. There are two types of
critical elements, CORE critical elements and SPECIALIZED critical
elements. CORE critical elements are relevant for all persons in a
given job family, whereas SPECIALIZED critical elements may only be
relevant for some persons in a job family (depending upon their
position's requirements) . In order to be a critical element, a work
assignment or responsibility must be of such importance that
unacceptable performance on the element would lead to a summary
performance rating indicating that the employee's overall performance
is at the Does Not Meet Expectations level. ' This, in turn, could
serve as the basis for the employee's reduction-in-grade,
reassignment, or removal from the FBI.
PERFORMANCE STANDARDS explicitly define the performance
expectations for each of the critical elements. Performance standards
change as one advances in performance levels or is assigned to a
position in a different job family. Therefore, for each critical
element, multiple levels of performance standards are provided that
describe the performance expectations of employees at different grade
levels.
PERFORMANCE LEVELS are based upon the specific job family,
specific grade, and other various factors (e.g., the type of work
performed) .
(2) General Description
The PAS includes some elements of the former performance
appraisal system, but also incorporates several novel elements
specific to the new PAS. Similar to the previous system, standard
rating periods for the performance appraisal process will begin and
end at one-year intervals. At the beginning of the process,
supervisors will provide employees with a Performance Plan containing
a detailed description of the performance expectations established for
the employee's position and grade level. Approximately midway through
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the rating period, employees will participate in a Progress Review
Session with their supervisors. During this session, employees will
have the opportunity to share their views of their performance with
their supervisors and obtain from supervisors feedback regarding their
performance. The formal Performance Appraisal Session, conducted at
the end of the performance appraisal period, completes the performance
appraisal process. During this session, supervisors discuss
employees' Performance Appraisal Report (PAR) ratings with them.
Several of the new elements incorporated into the PAS are the rating
levels and the use of job families, performance standards and
performance levels. Performance will be evaluated using two
rating levels, Meets Expectations and Does Not Meet Expectations. In
addition, supervisors will provide developmental recommendations which
will act as a guide for how employees can improve their performance.
These recommendations will not be furnished to any other FBI personnel
or become part of the employee's official personnel records. For more
detailed information regarding employee development refer to the "PAS
Employee Development Manual" and the "PAS Supervisor Handbook."
The FBI's PAS has been designed to accomplish two major objectives.
The first objective is to measure job-relevant performance in a
clear, fair and systematic manner. The second objective is to provide
supervisors and employees with tools, resources and information that
will encourage employee development and career management. It is
expected that this system will both foster employee/supervisor
communication and facilitate employee development. |
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5-1.2 Responsibilities
The Personnel Officer is responsible for the overall
administration of the FBI's | PAS | as it applies to Special Agent and
support personnel. In this regard, the Personnel Officer shall ensure
that the performance appraisal and recognition processes are properly
administered and applied. At any time deemed appropriate, the
Personnel Officer or his/her designee will conduct a substantive
review and validation of any | Performance Plan/PAR|and institute any
actions necessary to ensure compliance with applicable law,
regulation, or policy as set forth herein. The specific
responsibilities of other executives, management officials and
supervisors follow:
(1) Heads of offices (e.g., Special Agents in Charge
| (SAC) | or Assistant Directors) shall personally ensure that:
(a) Employees under their jurisdiction are
adequately informed of their rights and responsibilities under the
| PAS | in a timely manner;
(b) Managers and supervisors under their
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jurisdiction who serve as rating and/or reviewing officials are given
training and- periodic reminders of their duties and responsibilities
| under the|PAS,|in addition to receiving supplementary directives as
necessary;
I (c) | Managers and supervisors under their
| jurisdiction are made fully aware of the design of the system,
| including the job family structure, performance levels and the
| distinction between core and specialized critical elements; |
(d) Periodic evaluations of the performance
appraisal processes within their offices are conducted and that only
| employees whose performance | Meets Expectations, as defined by their
[ critical elements and performance standards set forth in their
I . Performance Plans, are rated at the Meets Expectations level; |
(e) Ratings of record issued to employees in their
I offices are approved;
(f) Performance-based personnel action
| recommendations are reviewed and | approved; and
I [ (g) Development needs are identified and
| communicated to employees and that employees are afforded guidance
| and/or assistance to improve as needed. |
(2) Reviewing officials are at a higher organizational
| level than rating officials and|are normally the supervisors of rating
I of f icials | and as such will ensure that:
I | (a) | PARs completed by rating officials are reviewed
and accepted or adjusted as warranted; and
I | (b) | Rating officials provide advice or instruction
as appropriate to subordinates.
I (c) | Deleted |
I (3) Rating officials are | supervisors, including those
| employees with the word supervisor, manager, officer, or foreman in
| their position titles and/or position description. They are normally
| the employees' immediate supervisors who train, assign and review the
| employees' work. | In appraising subordinates, rating officials are to:
I
I | (a) | Collect and maintain specific examples of
| employees' accomplishments and deficiencies | and any developmental
| information (e.g., development needs, development goals) throughout
| the rating period; |
I | (b) | Afford guidance, | developmental feedback and
| developmental opportunities (where feasible) | to all subordinates;
I | (c) | Issue PARs to employees as prescribed; and
I | (d) | If applicable, review the performance appraisal
■ practices of subordinate supervisors and provide advice as
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appropriate.
I (e) | Deleted |
I (4) Employees subject to the | PAS | are responsible for:
I (a) Participating, as requested, in| discussions
| regarding their Performance Plans at the beginning of the performance
| appraisal period; |
(b) Actively engaging in performance discussions
| during Progress Review Sessions, | Performance Appraisal Sessions, | and
at other appropriate times; and
(c) Maintaining current knowledge of their rights
| and responsibilities under the | PAS. |
I | (5) The Performance, Recognition and Awards Unit (PRAU)
| is responsible for:
I (a) Administering, coordinating and managing the
I FBI's PAS;
I (b) Reviewing PARs issued at the Does Not Meet
| Expectations rating level to ensure compliance with applicable law,
| regulation, and the PAS policy;
I (c) Providing, as the Personnel Officer's designee,
I a substantive review of Reconsideration Requests to ensure compliance
| with applicable law, regulation, and the PAS policy and to make
| recommendations to the Personnel Officer regarding action to be taken;
I (d) Reviewing performance-based action
| recommendations based on performance at the Does Not Meet Expectations
! rating level and making recommendations to management of the
| Administrative Services Division on action to be taken; and
I (e) Providing guidance/training to rating and
| reviewing officials in the applications of the PAS with respect to the
| interrelationship with other human resource areas such as discipline,
| promotions, within-grade increases, and other recognition matters.]
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5-1.3 Authority
The FBI ' s | PAS | was designed in accordance with applicable
portions of Title 5, United States Code, Chapter 43, and Title 5, Code
of Federal Regulations, Parts 430 and 432. Through the appraisal
process, employees are placed on notice of the critical
functions/duties | associated with their job family and performance
level and of the performance standards they are expected to meet. |
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Performance appraisal information controls and/or influences various
personnel actions.
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5-2 PERFORMANCE PLANS
(1) ISSUANCE OF A PERFORMANCE PLAN: An original Plan,
comprised of a Notice page and Critical Element and
Performance Standard (s) pages is to be issued within 30 days of the
beginning of an employee's entry on duty, an employee's change in
position due to a .change in grade outside of his/her performance
level, an employee's change in position due to reassignment to a
position outside his/her performance level or reassignment to a
position outside his/her current job family. | The employee's appraisal
period will begin the day he/she signs the Plan. | The original Plan,
in its entirety, must be entered into the Bureau Personnel Management
System and maintained by the office of origin. The original Plan is
to be forwarded to FBIHQ, only when a PAR is completed. At that time,
if the PAR is issued at the MEETS EXPECTATIONS level, the Plan along
with the original PAR is to be forwarded to Personnel Records,
Records Management Division. (See 5-4.6.1.) If the PAR is issued at
the DOES NOT MEET EXPECTATION level, both the PAR and the Plan must be
forwarded to the PRAU for review. A copy of the Plan must be retained
by the issuing office.
(2) MODIFYING PERFORMANCE PLANS: Performance Plans reflect
performance expectations for the job family and performance level as
established by a thorough job analysis. Therefore, the content of
Performance Plans cannot be modified in any way (i.e., no additions,
deletions, or adjustments to Performance Plans are allowed) .
(3) ' RENEWAL OF PERFORMANCE PLANS: When the same Plan is
being continued from one annual appraisal period to the next, the
rating official and employee must review the Plan, including
each critical element and Performance Standards page within 30 days
after the beginning of the new period. |The employee's appraisal
period will begin the day he/she renews the Plan. | The annual renewal
of notice of the Plan must be documented by the rating official and
the employee by initialing and dating the Notice Page inside the Plan
renewal block. Failure to renew Plans will result in invalidation of
PARS.
(4) PERFORMANCE STANDARDS: Define the performance
expectations associated with each critical element and performance
level identified for a job family and are expressed in terms of
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quality, quantity, timeliness, or other appropriate measurement
criteria. Rating levels to be used to assign a performance rating to
each critical element are as follows:
(a) Meets Expectations: Employee" consistently meets
the standards.
(b) Does Not Meet Expectations: Employee repeatedly
fails to meet one or more of the standards, such that performance is
well below expected levels.
(c) Deleted
(d) Deleted
(5) Deleted
(6) Deleted
(7) Deleted
(8) Deleted
(a) Deleted
(b) Deleted
(c) Deleted
(d) Deleted
(e) Deleted
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5-3 PROGRESS REVIEWS
(1) A progress review is an evaluation of an employee's
progress toward achieving a performance level. Rating officials are
responsible for imposing and maintaining appropriate controls to
permit the assessment of employees* performance throughout the
appraisal period. At the midpoint of the appraisal period, rating
officials must conduct Progress Review Sessions with their
subordinates. If an employee's appraisal period is altered by a
| change in grade | that results in the employee being placed in a
I different performance level in his/her job family or placed in a
| different job family, | the rating official must institute a review
session approximately midway through the newly established rating
period. Although employees are, at a minimum, to be advised of their
| level of performance on each | critical [ element in relation to the
| measurement criteria in the performance standards, | supervisors are
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I also responsible for providing developmental feedback to employees to
| address improvement, where needed. However, advice regarding
| performance appraisal rating levels | is not to be construed as an
official rating. An employee cannot request reconsideration of
his/her progress review ratings.
(2) Progress reviews are mandatory and may be conducted
orally. At the conclusion of the Progress Review Session, the date of
the review is to be recorded by the rating official inside the
Progress Review block on the Notice Page of his/her copy of each
subordinate's Performance Plan.
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5-4 PERFORMANCE-RELATED DOCUMENTATION
(1) PERFORMANCE APPRAISAL REPORTS (PARs): A PAR is
| comprised of a Cover|Page, Evaluation Page(s), and Narrative Page(s)
I (for Does Not Meet Expectations rating only) . | An employee must have
served at least 90 calendar days on notice of his/her critical
element (s) and performance standards before a PAR may be issued.
| | When an employee is issued a PAR within 90 days of his/her End of
| Annual .appraisal period, the PAR may be marked as an End of Annual
I PAR, and another PAR does not need to be issued to satisfy the End of
I Annual period requirement. |
(2) REVIEWING PARs WITH EMPLOYEES: Most performance
appraisal procedures are to be accomplished through direct contact
with the employee. Inasmuch as certain assignments may preclude face-
to-face contact because of geographic location or the sensitive nature
of the assignment, telephonic contact may be considered an appropriate
substitute. When personal contacts are not possible for a reason
other than undercover assignment, performance appraisal documents are
to be forwarded to the employee in an envelope marked "Personal and
Confidential" for his/her review and subsequent signing and dating.
(NOTE: Rating officials are | discouraged from including classified
information in PAR narratives. However, if necessary to include, they
must | ensure classified material is appropriately marked. ) Upon
issuance of a PAR, a copy|will|be furnished to the employee.
(3) | PROVIDING DEVELOPMENT FEEDBACK TO EMPLOYEES: In
addition to discussing performance appraisal ratings with employees,
supervisors are responsible for assigning developmental
recommendations to their subordinates and providing them with a
development plan (if appropriate) that specifies that actions they
should take to improve their performance. Developmental
recommendations are to be communicated only between supervisors and
their subordinates and will not be furnished to any other FBI
personnel or become part of employee's personnel records.
Developmental Plans, however, are considered official documents and
may be shared with the reviewing official and/or higher level
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management . |
(a) | Deleted |
(b) | Deleted |
(c) | Deleted |
(d) | Deleted |
(e) | Deleted!
(f) | Deleted |
|(4)| MAINTENANCE AND DESTRUCTION OF PERFORMANCE-RELATED
INFORMATION/DOCUMENTATION: | Performance-related information and
documentation is defined as any material gathered, prepared and/or
maintained by an employee's team leader, supervisor, rating official,
and/or reviewing official, for the exclusive purpose of evaluating the
employee under the Bureau's performance appraisal process. This may
include, but is not limited to, information maintained in any
performance file or folder, other than the employee's official FBIHQ
or field office personnel file. | Unless otherwise instructed by FBIHQ,
all performance-related information and documentation, | including, but
not limited to information maintained in any performance file or
folder, other than the employee's official FBIHQ or field office
Personnel File, |must be maintained for a period of one calendar
year | from the date of the End of Annual PAR. Further, any and | all
performance-related information and documentation, | whether maintained
in the employee's performance folder or otherwise, which is not part
of the employee's official FBIHQ or field office Personnel File, |must
be destroyed within | 30 days | after the expiration of the one-year
period as specified above.
(a) | Information or documentation which is relevant
to a pending complaint, charge, or internal investigation should be
maintained until final resolution of the matter. Performance-related
information and documentation which is maintained pending a complaint,
charge, or internal investigation will be destroyed one year from the
date the matter becomes final. |
(b) | Any copies of file review sheets and/or FD-865
Performance Assessment forms, which are maintained in an employee's
performance folder /used in determining an employee's performance
rating must be destroyed as instructed above. However, the above
provision does not apply to original file review sheets and FD-8 65s
which are maintained for inspection and other purposes not related to
the performance appraisal process. |
| (5) | EMPLOYEE ACCESS TO PERFORMANCE INFORMATION AND
DOCUMENTATION: Rating and reviewing officials are to make available
to each employee, upon request, any and all performance-related
documentation, whether maintained in the employee's performance file
or folder, or otherwise, which has been or will be used as a basis
for, or the development of, a Progress Review Session or PAR.
I (See 5-5.1. ) |
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(a) Copies of classified documents (e.g., PARs,
| progress review information) may be released to an employee; however,
| the employee should | not release | such material to any other | individual,
| without proper authority. |
(b) There may be particular circumstances which
preclude the release of certain performance-related information or
documentation to the employee. These circumstances may include, but
are not limited to, information or documentation which is relevant to
a pending complaint, charge, or internal investigation. For guidance
on withholding performance-related information or documentation,
rating officials should consult with the PRAU.
(c) If a rating official makes a decision to
| withhold performance-related information or documentation from | an |
employee who has made a request pursuant to this policy, the employee
will have the right to appeal the rating official's decision to the
| | SAC | or head of office. This appeal must be in writing, and must be
submitted to the SAC or head of office within 15 business days of the
denial of access to this material. The submission must then be
reviewed and a written response provided to the employee within 10
business days of the receipt of the employee's appeal.
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5-4.1 Appraisal Periods
Employees' performance is to be appraised on an annual
basis, according to the following schedule:
(1) Special Agents (SAs): April 1 through March 31. For
probationary SAs, see MAOP, Part 1, 5-4.3.
(2) Support:
(a) Field: July 1 through June 30.
I (b) FBIHQ: December 1 through November | 30 . |
I (c) |Criminal Justice Information Services/Finance |
Divisions: March 1 through February 28.
I | (3) All Supervisory and Managerial Agent and Support
| Personnel: Grades 1 through 15 (includes wage board supervisors):
| November 1 through October 31. |
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5^1.2 Types of PARs
(1) End-of-Annual Period
I (a) Special Agents (SAs): |A PAR will be completed
I immediately! after March 31 for any employee who has not received a PAR
since January 1 and who has been in grade and on notice of critical
I | elements | and performance | standards | for at least 90 days. For
probationary SAs, see MAOP, Part 1, Section 5-4.3.
I (b) Support: |A PAR will be completed
I immediately! after February 28 (CJIS/Finance Division (s), June
I 30 | (field), November 30 | (FBIHQ) for any employee who has not received
I a PAR since[ December 1 /April 1/September 1, | respectively, and who has
| been in grade and on notice of | critical elements and performance
I standards | for at least 90 days.
When an employee has not received any PAR and is not eligible for a
I rating by February 28 (CJIS/Finance Divisions), June 30 | (field),
| November | 30 (FBIHQ) for support personnel and March 31 for SA
personnel, the annual period must be extended until the employee
| completes 90 calendar days on notice of his/her | critical elements and
I performance standards. | The next annual period begins the
I I day the employee renews his/her plan. |
I
I | (c) Supervisory and Managerial Personnel Agent and
| Support: A PAR will be completed immediately after October 31 for any
[ supervisory/managerial employee who has not received a PAR since
| August 1, and who has been in grade and on notice of critical elements
| and performance standards for at least 90 days. |
(2) Position Change/Transfer: Whenever an employee is
scheduled to leave his/her official position, due to reassignment,
| promotion, | or demotion, that results in a change to the employee's job
| family, grade, or performance level, a PAR will be completed. This
I type of PAR can only be completed after meeting the 90-day appraisal
| requirements since the employee's last rating. |
I (3) Headquarters' Request: |When|a recommendation is due
for the denial of a wi thin-grade increase (WIGI) and the last PAR
issued is over six months old or the WIGI denial decision does not
I support the rating of record, | FBIHQ will request a PAR. When
| requested by the Inspection Division and/or the PRAU. |
(4) Current Appraisal: Whenever an employee's last
rating is more than 90 days old and the office desires to update
performance appraisal information or to capture performance to date
when a significant change in duties occurs (e.g., change from reactive
I squad to Chief Division | Counsel) , a PAR will be completed. | A current
PAR, covering at least a 90-day period, is necessary when a WIGI
decision is not supported by the rating of record. Also, a PAR is
required in some instances after the issuance of a Warning Resolution.
I (5) |Warning PAR: Whenever an employee's performance is
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| judged to' be at the Does Not Meet Expectations level in any critical
| element, a PAR will be completed. |
I I (6) | Warning Resolution: At the conclusion of an
| opportunity period to resolve an employee's warning | status, a PAR will
| be completed. |
| (7) | Deleted |
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5-4.3 Probationary Agents (See MAOP, Part 1, 5-4.1 and 5-4.2.)
(1) In accordance with the provisions of the Probationary
Agent Program (PAP), as set forth" in the MAOP, Part 2, Section 8, the
first annual period for new | SAs lends upon completion
of the first year on [ duty, and the | second annual period ends upon
completion of the second year on duty (see MAOP, Part 1, 21-1) .
Subsequent annual periods are in accordance with established
| PAS | policy.
(2) [ Deleted |
(3) | Deleted |
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5-4.4 Issuance of PARs
(1) When an appraisal is due, the rating official must
review his/her documentation of the employee ' s| performance | to
determine the level achieved on each critical | element | in which the
employee has had the opportunity to perform by comparison with the
performance standards of the employee's Performance Plan. In
preparing PARs at the end of the annual period, the rating official
must also consider any prior PAR issued during the annual period. The
appraisal of a disabled veteran may not be lowered because the veteran
has been absent from work to seek medical treatment.
(2) | Supervisors must maintain documentation regarding
both positive and deficient employee performance as it occurs
throughout the rating period. When issuing a PAR, a narrative summary
of an employee's performance must be provided to the PRAU, FBIHQ, only
for critical elements to which a supervisor assigns a Does Not Meet
Expectations rating. The narrative for this rating must include the
assistance to be afforded to the employee in improving. Such
assistance must include reviewing with the employee his/her
Performance Plan to reconvey the performance requirements for his/her
job family and performance level. | Additional assistance may include,
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but is not limited to, formal or informal training, counseling, change
in work | assignments, and | closer supervision. (See MAOP, Part 1, 5-4.7
and 5-4.7.1. )
I (3) When issuing a PAR because of inspection results,
the head of office must ensure that a current PAR is prepared and
issued which will cover the employee's performance since the period
covered in the last PAR. The rating official must consider and
include in the PAR narratives for "Does Not Meet Expectations" ratings
only, information from the inspection report, as well as other
documented performance information, pertaining to performance which
took place since the period covered in the last PAR. (NOTE: If 90
days have not passed since the end of the period covering the last
PAR, issue the PAR once 90 days have passed. ) |
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| |5-4.5| Determining Summary Ratings|(Formerly 5-6)|
I |A rating of Does Not Meet Expectations on any critical
I element results in a Summary Rating of Does Not Meet Expectations
I regardless of the Meets Expectations performance level achieved on
| other critical elements.
PERFORMANCE LEVELS
Meets Expectations
Does Not Meet Expectations!
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| |5-4.6| Prior Review of PARs by the Reviewing Official |(Formerly 5-*.5)|
The PAR must be submitted to the reviewing official, who
must be at a higher level in the organization than the rating
official, for approval BEFORE it is presented to the employee. The
reviewing official has the authority to accept or modify any PAR in
keeping with the proper application of these provisions.
Modifications to a PAR must be justified in writing and such comments,
to include specific examples of performance that support, the rating
level, are to be attached to the PAR.
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| |5-4.6.1 1 Entry of PARs into the Bureau Personnel Management System
(BPMS)l(Formerly 5-4.6)|
I PARs are to be entered into the BPMS no later than 42 days
after the appraisal period has ended. After each PAR is entered, a
notation | in box 10 on the PAR Cover Page should include the initials
of the individual who entered the PAR in BPMS; the date the PAR was
entered; the date of the Performance Plan which was used to rate the
employee; and the date of the Plan Renewal if applicable. PARs rated
at the Meets Expectations rating level are to be forwarded to
Personnel Records, along with the original Plan. WHEN THE SAME PLAN
IS BEING RENEWED FROM ONE APPRAISAL PERIOD TO THE NEXT, THAT PLAN DOES
NOT HAVE TO BE SENT TO PERSONNEL RECORDS. (See 5-2.) If a PAR is
issued at the Does Not Meet Expectations level, it must be forwarded
to the PRAU for review along with the Plan. This is necessary for the
PRAU to ensure that the employee has been placed on the correct Plan
for his/her job family, and performance level, and to ensure that the
Does Not Meet Expectations rating is properly documented and in
compliance with the PAS policy. |
**EffDte: 05/01/2002 MCRT#: 1191 Div : D3 Cav : SecCls:
| 5-4.7 Personnel Actions Based on "Does Not Meet Expectations" Ratings (See
MAOP, Part 1,|8-8.4 and| 14-4.2.)
(1) Assistance must be provided to employees in improving
performance rated at the Does Not Meet Expectations level. In this
regard, at any time an employee's performance in one or more critical
elements is rated at the Does Not Meet Expectations level, the rating
official must review the Performance Plan with the employee to
reconvey the performance requirements of his/her position
and performance level through formal or informal training, counseling,
closer supervision, or other appropriate means, such as a
reassignment. The rating official must append a separate statement
on plain white bond paper, as part of the PAR, stating the assistance
to be offered to the employee. (Also see MAOP, Part 1, 5-4.4 and
5-4.7.1.)
(2) In some instances, performance may be found to be of
such significance (e.g., demonstrating a reasonable potential for
jeopardizing physical safety) that treatment through the performance
appraisal process would not be appropriate; therefore, the office may
request reassignment to another position without affording the
employee a 90-day opportunity period. Other situations may
combine poor performance and actions subject to policy governing
disciplinary matters, as set forth in the MAOP, Part 1, Section 13.
Except in cases meeting requirements for action under BOTH the PAS AND
disciplinary policy, it is generally unnecessary and inappropriate to
recommend a disciplinary action such as probation when issuing a
Warning PAR.
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(3) A Does Not Meet Expectations rating is a basis
to reassign, reduce in grade or remove an employee. Such remedial
action may be taken only after an employee has been provided with
notice of the performance that led to the Does Not Meet Expectations
rating, in the form of a Warning PAR and given a 90-day opportunity
period to demonstrate performance that Meets Expectations.
(4) Deleted
**EffDte: 05/31/2002 MCRT#: 1207 Div : D3 Cav : SecCls:
5-4.7.1 Warnings, Resolutions, and Personnel Recommendations (See MAOP,
Part 1,5-4.4 and 14-4.2.)
(1) IWarning PAR| NARRATIVE SUMMARIES must be provided for
EACH critical element | rated at the Does Not Meet Expectations rating
level. [ Narratives for | these critical elements | must include specific
instances of | the | performance | that demonstrate a clear rationale for a
Does Not Meet Expectations rating. | The rating official must
append a separate statement on plain white bond paper, as part of the
PAR, regarding the assistance [ to | be offered to the employee to
improve. | (See 5-4.7.) | Such assistance must, without exception,
include affording the employee the opportunity to review his/her
Performance Plan, thereby reconveying the requirements of the | Meets
Expectations rating | for each | critical element, | which must be
achieved/maintained throughout the opportunity period. A copy of the
employee's Plan must be submitted to the | PRAU, | FBIHQ, along with | the
PAR. This is necessary for the PRAU to ensure that the employee has
been placed on the correct Plan for his/her job family, and
performance level, and to ensure that the Does Not Meet Expectations
rating is properly documented and in compliance with the PAS policy. |
(a) Length of Opportunity Period - The opportunity
period is uniformly set at 90 calendar days for all employees. An
office may extend the opportunity period for an additional 30 calendar
days if the rating and reviewing officials determine that the employee
I (1) has improved, (2) may yet achieve the | Meets Expectations | level if
given some additional time, and/or (3) requires additional time due to
an unusual circumstance, such as absence due to
sick/maternity/military leave. Given concurrence by the head of the
office, a written communication regarding such extension must be
I forwarded to the | PRAU. |
I (b) Interruption of | Opportunity | Period - Once an
| employee is given a Warning PAR, he/she should NOT | normally | be
reassigned/transferred prior to the completion of the opportunity
period. Circumstances may necessitate the reassignment/transfer of an
employee to protect an investigative operation or the employee;
however, generally, reassignments/transf ers are supervisory options
which should be exercised before issuing a Warning PAR.
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I (c) Termination of | Opportunity | Period - To terminate
an employee's opportunity period for any reason (e.g., reassignment,
transfer, or at the employee's request) will nullify that employee's
chance to demonstrate positive performance with respect to
| the | critical elements | in question. As a result, the | Warning PARI must
be considered unresolved, and no recommendation for reduction in grade
or removal may be made. The office should notify the PRAU of such
termination by written communication.
(2) Warning Resolution PAR - At the completion of' the
opportunity period, a Warning Resolution PAR must be prepared. The
Resolution PAR is to reference the Warning PAR and document the
employee's performance during the opportunity period. Narrative
| summaries of performance | at the Does Not Meet Expectations level | must
| be provided for EACH | critical element [and must include specific
examples of performance demonstrated and the level achieved during the
opportunity period. The narrative for any element rated at
I the | Does Not Meet Expectations | level must include a description of the
| assistance | afforded. | When the Resolution PAR satisfies the end-of-
the-annual-period requirements, the rating official must consider all
| performance and/or ratings issued | for | the same grade level during the
annual period.
I (a) Positive | Resolution: | If the employee
| consistently demonstrates performance at | the Meets Expectations level
| ' for a critical element during the opportunity period, a PAR must be
| issued at the Meets Expectations level at the end of the opportunity
| period. If all elements are rated Meets Expectations, the Warning is
[ considered to be resolved at a positive level and no recommendation
| for remedial action may be made. |
Jeopardy Period - When a warning is resolved at a positive level, a
separate statement on plain white bond paper, initialed by the
employee, must be appended to the PAR indicating that the employee has
been advised of his/her responsibility to maintain an acceptable level
of performance. The statement must include advice that failure to
maintain at least the|Meets Expectations | level in the| critical
elements | for which the opportunity period was provided, for one year
from the date of issuance of the Warning PAR, will be cause for the
immediate issuance of a PAR at the | Does Not Meet Expectations | level
and the submission of an appropriate recommendation for personnel
| action (i.e., reassignment, reduction-in-grade or removal). NOTE:
The PAR must be forwarded to the PRAU. |
(b) | Negative I Resolution - If the employee
continues to perform | at the Does Not Meet Expectations | level during
the opportunity period, a recommendation by the SAC or head | of
of f ice, | in accordance with Title 5, United States Code, Section
|4304, | to reassign, reduce in grade, or remove is to be set forth in a
cover communication forwarding the PAR to the | PRAU. | The
recommendation must be based on the unacceptable performance addressed
by the | Does Not Meet Expectations - Warning Resolution | PAR and should
reflect consideration of the employee's record - a factor not
addressed by the PAR, but appropriate for inclusion in|the|
recommendation for personnel action.
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(NOTE: Failure to issue | Warning | and Warning Resolution PARs in a
timely manner |may preclude | the consideration of some of the
employee's unacceptable performance in supporting reduction-in-grade
or removal decisions.)
1. Approval of Recommendation - When FBIHQ
approves a recommendation to reassign, reduce in grade or remove the
employee based on a PAR at the | Does Not Meet Expectations | level, the
employee is entitled to: 30 days' advance written notice of the
proposed action. This notice will be provided to the employee
by FBIHQ. The written notice will identify instances of less
than | Meet Expectations [performance, as well as actions taken to assist
the employee to improve, advise the employee of his/her right to
representation by an attorney or other counsel, and provide the
employee with 10 days to respond to the proposed action orally and
in writing.
2. Expiration of the 30-day Notice Period -
Upon expiration of the 30-day Notice Period, action will be taken by
FBIHQ to reassign, reduce in grade, or remove the employee, unless
otherwise notified by the head of office.
3. Written Decision - A written decision will
be provided by FBIHQ. This decision will describe instances of less
than|Meet Expectations | performance by the employee on which the
reassignment, reduction in grade, or removal is based. A written
decision to reassign, reduce in grade, or remove the employee will be
made as soon as practicable after the date of expiration of the
notice period. Furthermore, in the case of a reassignment, reduction
in grade, or removal, the decision must be based on those instances
of unacceptable performance by the employee which occurred during the
one-year period ending on the date of the advance written notice of
the proposed action. The employee will also be advised in this
decision of any appeal rights available to him/her.
(3) If, because of an improvement in performance by the
employee during the notice period, the employee is not reassigned,
reduced in grade, or removed, and the employee's performance continues
to be acceptable for one year from the date of the advance written
notice, the Warning Resolution PAR and ANY entry or other notation
with reference to same MUST be removed from ANY OFFICE or FBIHQ RECORD
relating to the employee.
**EffDte: 05/01/2002 MCRT#: 1191 Div : D3 Cav: SecCls:
5-5 RECONSIDERATION REQUESTS (Formerly 5-6) (See MAOP, Part 1, 14-2.)
I (1) | Requesting Reconsideration for Does Not Meet
[ Expectations Ratings: Employees may only request reconsideration of
| Does Not Meet Expectations ratings. |
I (2) | Request Reconsideration for Developmental
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Recommendations : The purpose of the developmental recommendations are
to provide supervisors with a tool for providing targeted, meaningful
feedback to employees on each critical element and to allow them to
work with their subordinates to improve performance where needed.
Given that there will be no official record of the developmental
recommendations, or official documentation for them, employees will
not be allowed to appeal or grieve them. |
(3) | Request Reconsideration Based on Ratings Relevant to
their Job Family and Performance Level: Employees may only request
reconsideration for ratings based on critical elements relevant to
their job family and performance level (i.e., those critical elements
specified in their Performance Plan) . That is, an employee will not
be permitted to request reconsideration based on the belief that
he/she should have been assigned to a different job family and/or
rated on a different set of critical elements. Similarly, an
employee is not allowed to file a grievance based on the belief that
he/she belongs in a different performance level than that identified
for his/her job family/grade. |
(4) | Rating Information Communicated in the Progress Review
Session: Employees may not request reconsideration for information
communicated in the mid-year Progress Review Session. This is because
this discussion is considered to be an informal review of the
employee's performance, not an official communication of performance
appraisal ratings. |
(5) | Deleted |
(6) | Deleted |
(7) | Deleted |
(8) | Deleted |
(9) | Deleted |
(10) | Deleted |
(11) | Deleted |
(12) | Deleted |
(13) | Deleted |
**EffDte: 05/01/2002 MCRT#: 1191 Div : D3 Cav : SecCls:
5-5.1 (Procedures for Requesting Reconsideration
I Employees may request reconsideration for any Does Not Meet
| Expectations performance appraisal rating that is assigned.
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(1) An employee who is dissatisfied with a rating of Does
Not Meet Expectations must respond in writing to his/her
rating/reviewing officials within ten business days of his/her receipt
of the rating. A request for an extension of this time will be
considered by the PRAU, FBIHQ, on a case-by-case basis. (Note: An
employee of the Personnel Management Branch, Administrative Services
Division must direct a reconsideration request of a PAR to the Deputy
Assistant Director - Personnel Officer, Personnel Assistance and
Facilities Management Branch.)
(2) An employee's written request must clearly identify the
specific aspect (s) of the appraisal for which the employee seeks
reconsideration (e.g., the name(s) of the critical elements for which
a Does Not Meet Expectations rating was assigned) . In addition, the
request must clearly specify all relevant facts and performance-
related information, which, in the opinion of the employee, support an
adjustment to the PAR. In effect, this document must provide the
factual basis upon which the employee chooses to request
reconsideration of his/her performance appraisal. In the event that
an employee seeks to receive a Meets Expectations rating for an
individual critical element, the employee must provide sufficient
documentation to support that action in his/her reconsideration
request. The employee should not only refute the information in the
PAR but also provide specific examples of work performance they
believe is at the higher level.
(3) When a reconsideration request is filed by an employee,
it will be the responsibility of his/her reviewing official to ensure
that the rater and the employee attempt to identify not only the
issues which are the basis for the employee's discontent, but, if
possible, to reach an agreement on the factual basis for those issues
as well. These discussions should serve to crystallize the specific,
factual issues and/or points of disagreement between the rater and the
employee in their respective assessment of the ratings assigned to the
critical elements.
(4) An employee must be allowed a reasonable amount of work
time, at the discretion of management, to prepare his/her
reconsideration request. An employee must also be allowed access to
the personnel folder/performance-related documentation maintained by
the rating/reviewing officials, in order to prepare his/her
reconsideration request. (See MAOP, Part 1, 5-4(5) for further
information. )
(5) The reviewing official must review the submission by
the employee and provide a written response to the employee within ten
business days (a request for extension of this time will be considered
on a case-by-case basis by the PRAU) commenting on the issues raised
by the employee. This finding will set forth the action being taken
by the reviewing official to resolve the reconsideration request and
the rationale for his/her decision. This response should address the
validity of the facts, if any, presented by the employee in his/her
reconsideration request. Information considered by the reviewing
official must be drawn from the narrative statements set forth by the
rating official in the contested appraisal, additional facts presented
by the employee in his/her reconsideration request, and any response
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| prepared by the rating official to that information.
Issues/deficiencies which were not addressed in the contested
appraisal by the rating official may not be introduced by the
reviewing official in the reconsideration request process, unless in
specific response to new facts/issues presented by the employee. A
reviewing official may sustain and/or adjust rating levels for
critical elements- in the appraisal, to include the Summary Rating.
(6) If the reviewing official decides to adjust the
appraisal, he/she will change the appraisal document to reflect Meets
Expectations ratings for those critical elements in which he/she
believes the employee has met expectations. The reviewing official
will attach a copy of his/her written findings regarding the
reconsideration request. The reviewing official will then present
this document to the employee for review and signature. Subsequently,
the reviewing official must forward the adjusted PAR along with the
documentation supporting the adjustment to the PRAU, which will ensure
BPMS is updated to reflect the adjustment ( s) to the PAR. (NOTE: If
all critical element ratings in the PAR at this point are at the Meets
Expectations level, the employee cannot pursue the matter any further,
even if he/she does not agree with the language in the reviewing
official's response. This is true inasmuch as the Meets Expectations
rating cannot be grieved, and' the reconsideration request process is
designed to assist employees who are dissatisfied with their PAR
rating (s)n not the verbiage contained therein.)
(7) If the reviewing official decides to sustain the
rating (s), he/she must present his/her written findings to the
employee, who, in turn, must sign and date the document to indicate
formal notice that the document has been received.
(8) If an employee wishes to continue his/her
reconsideration request of the appraisal following receipt of the
reviewing official's written decision, he/she must inform the
reviewing official and the Personnel Officer of that fact within two
business days (a request for an extension of this time will be
considered on a case-by-case basis by PRAU). The notice to the
Personnel Officer (Attention: PRAU) must be in writing.
(9) Upon notification by an employee that he/she wishes to
continue the reconsideration process, the reviewing official must
notify the Personnel Officer (Attention: PRAU)' of that fact by
telephone on that date and confirm the notice by written
communication. The written communication will also be used to forward
the originals of the reviewing official's written decision, the PAR,
Plan, and the employee's written responses to the rating/reviewing
officials, to the Personnel Officer (Attention: PRAU) for use in
adjudicating the reconsideration request.
(10) A reconsideration by PRAU on behalf of the Personnel
Officer will include a review of the facts/issues discussed in the
employee's appraisal, those presented by the employee in his/her
reconsideration request, the information supplied by the reviewing
official, and rebuttal information provided by the employee. The
Personnel Officer will conduct a substantive review of those critical
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elements contested by the employee. The Personnel Officer may sustain
or modify the level assigned to any critical element contested and, as
warranted, the Summary Rating, or invalidate the PAR to ensure its
compliance with policies governing the PAS. Normally, PRAU will
complete the action within 30 business days.
(11) An employee will be informed in writing of the
decision of the Personnel Officer in adjudicating his/her
reconsideration request. Since the Director has delegated the
authority for adjudication of PAR reconsideration requests to the
Personnel Officer, the decision made by the Personnel Officer is
final .
(12) In the event that a PAR is adjusted by the Personnel
Officer, a copy of the adjusted PAR will be provided to the issuing
division/office for the employee's review and for retention in lieu of
the original appraisal issued to the employee. |
**EffDte: 05/01/2002 MCRT#: 1191 Div : D3 Cav: SecCls:
| 5-5.2 | Moved to 5-6. 2|
**EffDte: 10/09/1996 MCRT#: 595 Div: D3 Cav: SecCls:
| 5-6 | Moved to 5-4.5|
**EffDte: 05/01/2002 MCRT#: 1191 Div: D3 Cav: SecCls:
1 5-6.1 |Deleted|
**EffDte: 05/01/2002 MCRT#: 1191 Div: D3 Cav: SecCls:
1 5-6.2 |Deleted|
**EffDte: 05/01/2002 MCRT#: 1191 Div: D3 Cav: SecCls:
| |5-7 DELETED|
**EffDte: 08/25/1989 MCRT#: Div: D3 Cav: SecCls:
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| |5-8 DELETED|
**EffDte: 08/25/1989 MCRT#: Div: D3 Cav : SecCls:
| |5-8 DELETED|
**EffDte: 08/25/1989 MCRT#: Div: D3 Cav: SecCls:
| |5-10 DELETED|
**EffDte: 08/25/1989 MCRT#: Div: D3 Cav: SecCls:
| |5-11 DELETED|
**EffDte: 08/25/1989 MCRT#: Div: D3 Cav: SecCls:
| |5-12 DELETED|
**EffDte: 08/25/1989 MCRT#: Div: D3 Cav: SecCls:
5-13 RECOGNITION AND AWARDS
**EffDte: 08/25/1989 MCRT#: Div: D3 Cav: SecCls:
5-13.1 Legal and Administrative Bases
(1) Title 5, U.S. Code Annotated, Chapters 45, 53, and
54
(2) Title 28, Code of Federal Regulations (CFR), 0.137
(3) Title 5, CFR, 430.501-506; 451.101-107; and
531.501-508
(4) Departmental Order DO J 1451. 1A
(5) The Director is authorized by the Attorney General
to grant Quality Step Increases (QSI) to qualified employees at
intervals of not less than 52 weeks, within the limits of available
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funds. The Director is also authorized to approve for Bureau
| employees special | achievement (incentive) awards up to $5,000.
Special achievement awards in excess of $5,000 are referred to the
Department of Justice for | approval. |
**EffDte: 04/25/2001 MCRT#: 1096 Div: D3 Cav : SecCls:
5-13.2 Purpose of Recognition and Awards
(1) The primary objective of the awards program is to
improve the economy and efficiency of government operations. Its
purpose is to motivate employees to increase productivity and
creativity by rewarding those whose job performance and adopted ideas
benefit the government and are substantially above normal job
requirements and performance standards.
(2) The FBI has established several means by which its
employees may be recognized which are described in this portion of the
| manual. These include QSIs, incentive awards based|on special |
achievement, and certificates of commendation. Bureau supervisors and
managers should be knowledgeable of these means of recognition and
should ensure that only the most deserving employees are recommended
for recognition through these awards. They should also bear in mind
that the performance level and contributions of employees being
recommended for the same matter differ and should indicate same in
their recommendations. Careful consideration should be given to the
appropriateness of the award recommended in comparison to the
performance or achievements of the employee.
(3) For all performance-related awards, the employee must
be shown to have significantly exceeded the requirements of his/her
position. The position description and performance appraisal of the
employee will be reviewed, as applicable, to determine the propriety
| of granting incentive awards. | The PRAU will provide
| guidance/assistance for all offices concerning the application of
| awards criteria and various award options in regard to those
I recommendations deemed not meeting the criteria, including those
| without appropriate and sufficient justification.!
(4) Promotions are ordinarily considered sufficient
recognition of sustained employee performance and must be taken into
consideration prior to the recommendation for an incentive award.
(5) Division heads and SACs should ensure, on at least an
annual basis, that supervisory personnel are knowledgeable of the
intent of the recognition program, and their effective use of the
program should be taken into consideration with regard to their own
performance.
(6) If an employee is assigned to an office other than
the one making the recommendation for recognition, the employee's
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division head or SAC should be contacted, and the recommendation
should state that the recommendation is being made with the
concurrence of the employee's division head or SAC.
**EffDte: 04/25/2001 MCRT#: 1096 Div: D3 Cav: SecCls:
5-14 QUALITY STEP INCREASES (See MAOP, Part 1, 8-8.1(2).)
(1) QSIs are intended to recognize those exemplary
employees whose sustained, high-quality performance is at a level that
substantially exceeds an acceptable level of competence by authorizing
faster than normal step increases. FBI policy provides that QSIs may
be granted, within limits of available appropriations, on an annual
basis. Therefore, FBIHQ will request recommendations for QSIs to be
submitted in April of each year for Special Agent personnel; March for
Criminal Justice Information Services (CJIS) /Finance Divisions'
support personnel; July for field support personnel; November for
Supervisory Special Agents and Professional Support managers; and
December for FBIHQ support personnel other than the CJIS and Finance
Divisions.
(a) The Performance, Recognition and Awards Unit
will advise each division head and SAC, prior to the date
recommendations are required, of the number of QSIs allotted for their
respective offices. QSIs will be distributed at the discretion of
management, not to exceed the authorized number of allotted QSIs.
(2) Criteria Necessary for QSI Nominations
(a) An employee may be recommended for a QSI only
when his/her annual performance appraisal reflects a summary rating of
MEETS EXPECTATIONS with no critical element rated below Meets
Expectations .
I (b) | As long as an employee has demonstrated
| sustained performance of high quality and has a Performance Appraisal
| Report on record at the Meets Expectations level, he/she can be
| considered for a QSI. | Furthermore, the employee should be expected to
remain in the same or similar position for at least 60 days following
the awarding of "the QSI. If an employee is scheduled for promotion
within, 60 days, he/she should NOT be recommended for a QSI.
(c) An award for a special act or achievement during
the 52-week period is not disqualifying.
(d) The following employees may not be recommended
for QSIs: Federal Wage Scale; employees who have reached step 10 of
their GS grade; employees who have reached statutory salary
limitations (the pay cap) ; employees whose salaries are fixed under
the Executive Pay Act.
(e) A cash award may be recommended in lieu of a QSI
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for an eligible GS employee who has reached step 10 of their grade or
when the employee would enjoy the benefits of a QSI for an
insufficient length of time. Also, eligible Federal Wage Scale
employees may be recommended for cash awards in lieu of QSIs.
(3) Documentation for QSI Recommendations (Form FD-608).
FD-608 is to be used to submit nominations for QSIs. This form should
be completed and submitted in duplicate. A narrative setting forth
the accomplishments of the individual is required as an attachment to
this form.
(4) Relationship to Regular Within-Grade Increases. An
employee who receives a QSI does not start a new waiting period to
meet the time requirements for a regular within-grade increase;
however, if a QSI places the employee in the 4th or 7th step, the
waiting period is extended by 52 weeks. For example, a QSI is awarded
to an employee in step 3 who has completed 4 weeks of creditable
service to the 4th step. After the QSI places the employee in step 4,
a 2-year (104-week) waiting period, the employee will only require 64
more weeks of creditable service to complete the 104-week waiting
period for advancement to the 5th step. (See MAOP, Part 1,
8-8.1(2) .)
(5) Presentation of QSIs. To increase employee
understanding of the QSI program, FBIHQ division heads, Assistant
Directors in Charge, and SACs will make presentations of QSIs at an
office ceremony attended by employees in the immediate work area, with
statements of specific reasons why the employee's contribution merited
the QSI, including its impact on the division.
(6) Deleted
**EffDte: 12/15/2003 MCRT#: 1310 Div : D3 Cav: SecCls:
5-15 INCENTIVE AWARDS
(1) Incentive awards are in addition to the basic pay of
an employee and are based on the superior performance of work-related
assigned tasks or performance of official duties, so that one or more
• important job elements are performed in a manner substantially
exceeding normal requirements over a period of time or on special
achievements or service-type contributions of a one-time, nonrecurring
nature, connected with or related to official employment.
I (2) | Deleted |
I (a) | Deleted |
I (b) | Deleted |
I (c) | Deleted |
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I (3) | Deleted |
I (a) | Deleted |
I (b) | Deleted |
(c) Deleted
(4) Criteria for Determining Individual ( s) Eligibility
I for Special Achievement Awards. | (See 5-15.2.) |
Due to the variety of circumstances and possible
unanticipated factors that may influence an employee's performance,
the following criteria should not be considered all-inclusive. Award
nominations will be considered on a case-by-case basis; therefore, as
much detail as possible concerning the employee's performance should
be included to ensure an appropriate evaluation. The recommendation
should also clearly state the complexity of the task(s) performed and
the significance of the contribution (s) . Furthermore, | the criteria
specified for each of the categories within the 4-Category Award
structure should be used to distinguish the level of recognition
requested. The PRAU will not direct that a higher or lower award be
granted, but will offer guidance regarding the proposed amount in
light of the justification an office provides.
(a) | Category Award Structure
CATEGORY A ($300 - $500)
Accomplishment (s) : Can result from any assignment or self-initiated
contribution by an employee.
Duties and Responsibilities: Work was within scope of position duties
but extra effort applied.
Impact: Typically addresses a short-term or reactive objective of
minor to moderate complexity. Benefit may be limited to the immediate
work area.
CATEGORY B ($501 - $1200)
Accomplishment (s) : Typically results from an assignment with
specified goals and time frames.
Duties and Responsibilities: Work involved the sustained application
of extra effort and/or the performance of additional duties.
Impact: Attainment of a planned or reactive objective of moderate to
difficult complexity which notably supports the mission of the unit,
program, or squad.
CATEGORY C ($1201 - $2000)
Accomplishment (s) : Must be associated with the objectives outlined
under the FBI Strategic Plan. (SEE BELOW.)
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Duties & Responsibilities: Work involved the sustained application of
extra effort and/or the performance of additional duties.
Impact: Contributed toward the attainment of an objective under the
FBI Strategic Plan. (SEE BELOW.) Performance represents an
uncharacteristically high level of achievement.
CATEGORY D ($2001 - above)
Accomplishment (s) : Must be associated with the objectives outlined
under the FBI Strategic Plan. (SEE BELOW.)
Duties and Responsibilities: Success was dependent upon the ability
to perform at a greater capacity than defined for the employee's
position.
Impact: Contributed toward the attainment of an objective under the
FBI Strategic Plan. (SEE BELOW. ) Performance serves as a model for
success and/or introduces new innovations in investigative strategy or
technique.
FBI STRATEGIC PLAN:
Support of the FBI's Strategic Plan 1998-2003 will play a pivotal
role in the submission of nominations for investigative achievements. ■
Before submitting nominations, all offices should take into
consideration and include reference to how the efforts being proposed
for recognition were in furtherance of the goals and objectives
established in the FBI's Strategic Plan. Moreover, nominations for
noninvestigative matters, not in association with special projects of
significant nature or direct support to operations, should include
reference to the employee's efforts that supported the FBI's
strategies. If such a link does not exist, other types of recognition
should be considered, e.g., Time Off from Duty (TD) Award, On-the-Spot
Award, or Certificate of Commendation.
1. Award nominations pertaining to complex,
long-term and/or major cases will be vetted by the Criminal
Investigative Division; recognition for national security issues will
be addressed by the National Security Division; and employees' efforts
regarding terrorism matters will be reviewed by the Counterterrorism
Division. Critical query checks on all award nominees will be
conducted by the PRAU.
2. SES members are ineligible for cash awards
throughout the year, and awards will be granted only incident to their
annual performance appraisals. Any exceptions would be based on
highly unusual events and would require the approval of the SES Board
and the Director. (See 5-15.4.) |
(5) Documentation Insufficient to Support Awards.
(a) An employee is successful in an investigation
and performed in an excellent fashion but not beyond normal job
expectations for his/her grade and experience.
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(b) An investigation which makes an interesting case
write-up but which fails to describe what employee did to exceed
normal job expectations.
(c) A case receiving favorable publicity but which
does not describe employee's performance exceeding normal job
expectations .
(d) Overtime for which an employee has been
compensated by overtime pay or compensatory leave.
(e) Performance has not been work-related while on
duty or in the performance of official duties.
(6) Group awards are granted to two or more employees who
performed the same task and whose contributions are such that they are
all considered equal. Each member of the group will be granted an
equal amount of the overall group award.
(7) Multiple award recommendations may be made for two or
more employees whose contributions to a particular situation are not
considered of equal merit. These award amounts will be determined
proportionate to each employee's contributions and the overall
significance of the project/case; therefore, clear justification must
be provided to ensure that all employees are recognized equitably.
Recommendations for multiple awards should rank the employees to
I clarify the level of their contributions, utilizing the | appropriate
| 4-category concept. | To determine each employee's ranking, the
complexity of their assigned duties and the significance of their
contributions to the final results attained should be considered. The
recommending official should make every effort to identify all.
employees contributing to the matter and include a statement at the
end of the recommendation certifying that all reasonable steps were
taken to ensure that all appropriate employees were considered for
| inclusion.
(8) Presentation of Awards. FBIHQ division heads,
Assistant Directors in Charge, SACs, or- individuals acting on their
behalf, will make incentive award presentations with appropriate
publicity to enhance the purposes of the awards program.
**EffDte: 04/25/2001 MCRT#: 1096 Div : D3 Cav: SecCls:
5-15.1 Form FD-255 (Recommendation for Incentive Award)
(1) Form FD-25 5 should be used to submit recommendations
| | for special | achievement awards. Instructions on the form should be
carefully followed and the documentation should include clear,
specific statements of fact, including the following:
(a) The specific time frame employee worked on the
project/case.
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(b) The initiative displayed by the employee.
(c) The complexity or difficulty of assignment and
if it exceeded the level of work expected of employee's grade and job
description.
(d) Any unique situations or unusual circumstances
and how they were handled.
(e) The specific results achieved.
(f) The significance of employee's efforts to the
results attained.
(g) Benefits obtained for office, overall Bureau,
local community, intelligence community.
(h) The request of the recommending office (cash
award or certificate of commendation, ranking employees as
appropriate) .
(i) Any prior award (s) employee has received for
same project/case.
(2) Special Agent and support supervisors may submit FD-
255s to their SACs or division heads recommending awards for employees
I under their [ supervision. The office/division head, or in their
I absence, the acting office/division head should personally approve the
| recommendation and then submit the form to the designated point of
| contact that handles awards matters . |
(3) Form FD-25 5 may also be used to recommend awards
under the Principal Relief Supervisors Program. (See MAOP, Part 1,
5-15.5.)
I (4) | Deleted |
**EffDte: 04/25/2001 MCRT#: 1096 Div : D3 Cav : SecCls:
5-1 5.2 Amount of Awards
I Approval by the head of office for award amounts should
be determined by using the established criteria for each category as
set out in 5-15(4). The PRAU will not direct that a higher or lower
award be granted, but will offer guidance regarding the proposed
amount in light of the justification an office provides. |
**EffDte: 04/25/2001 MCRT#: 1096 Div: D3 Cav: SecCls:
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| 5-15.3 | Deleted |
**EffDte: 12/17/1993 MCRT#: 172 Div: D3 Cav: SecCls:
|5-15.4 Senior Executive Service (SES) Cash Awards [(See 5-15 (4).) |
SES members are ineligible for cash awards throughout the
year, and awards will be granted only incident to their annual
performance appraisals. Any exceptions would be based on highly
unusual events and would require the approval of the SES Board and the
| Director. |
**EffDte: 04/25/2001 MCRT#: 1096 Div: D3 Cav: SecCls:
5-15.5 Principal Relief Supervisor Awards (See MAOP, Part 1, 3-2.2 and 5-15.1
(3).)
(1) Criteria for Nomination of Principal Relief
Supervisor for an Incentive Award.
(a) The individual must have been officially
designated as the principal relief supervisor or the Assistant
Supervisory Senior Resident Agent for at least six months.
(b) The recommending official must state in the
| submitting communication that the individual is at | the "Meets
| Expectations" level in all of his/her duties. |
(c) The individual must perform or have performed
relief supervisory functions an average of eight hours per pay period
for at least the past six months; and
(d) The individual's performance in the principal
relief supervisor capacity must be considered superior and documented
as such on an FD-255 (Recommendation for Incentive Award) . The field
division head or acting field division head must personally endorse
the recommendation.
(2) A qualified individual may only receive this
particular award once in a 12-month period; however, the same
individual may be recognized during subsequent 12-month periods if all
I qualifications continue to be met. |Head(s) of offices have been
| authorized to grant principal relief supervisor awards in amounts up
| to $1,000. | All nominations must be received at FBIHQ within 60 days
following the reassignment of the principal relief supervisor.
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(3) Nominations for the principal relief supervisor cash
award may be submitted at any time. All nominations must state that
the recommended individual meets all of the above criteria.
**EffDte: 07/19/2002 MCRT#: 1229 Div: D3 Cav : SecCls:
5-15.6 On -the -Spot (OTS) Cash Awards Program
OTS awards are designed to recognize, through immediate
recognition, FBI employees who perform quality service in an
exceptional manner while on duty or in the performance of duties
related to FBI employment. These awards do not replace any existing
awards, and employees who receive them may be considered for other
recognition.
(1) Amount of Awards
I $50 to|$500|in increments of $50. The awards will
be net and will be ordered in amounts to cover withholding to ensure
| actual amounts of $50, $100, $150,|$200, $250, $300, $350, $400, $450,
I and $500. |
(2) Eligibility
I All FBI employees at the GS - 15 | level and below|and WG
I employees at the equivalent of the GS-15 | level or below | are eligible.
| An employee may receive no more than four (4) OTS | awards, and cannot
| exceed a maximum of $2,000, | in one | calendar | year .
(3) Qualifying Criteria
Must be for work-related performance while on duty or
in the performance of duties related to FBI employment; performance of
additional duties while maintaining his/her own workload;
accomplishing office goals in meeting short deadlines; solving unusual
work-related problems; or single short-term incidences of exceptional
work-related performance.
(4) Nomination
(a) A recommending official (supervisor) may
nominate any deserving employee by sending an e-mail to the approving
official. Nominations should include the recipient's name, the
recommended award amount, and a brief explanation of why the employee
is being recommended for the award. Nominations should be made no
more than two (2) weeks after the occurrence of the achievement being
recognized, whenever possible.
(b) OTS awards should be granted individually.
Groups cannot share the OTS awards. Withholdings are reflected in the
salary records of the award recipient for tax purposes.
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(5) Approval
(a) The approving official should reply to the
recommending official with either an approval or disapproval after
receiving a recommendation from the recommending official. The
recommending official then forwards the approval to the awards Point
of Contact (POC) so he/she can deduct the money from the office awards
budget. The recommending official should print a copy of the e-mail
for the employee's drop file.
(b) If an employee is assigned to an office other
than the one making the recommendation for recognition, the employee's
division head or SAC should be contacted, and the recommendation
should state that the recommendation is being made with the
concurrence of the employee's division head or SAC. The funds for the
OTS award will be deducted from the allotment of the office making the
recommendation .
(c) Deleted
(6) Presentation
The employee should be notified of the OTS award in a
public forum. The use of a certificate is optional.
(7) Award Allotment
The PRAU will notify each office/division of their
one lump sum budget at the beginning of each fiscal year. This budget
should be used for all awards.
(8) Office/Division Head Responsibilities
Office/division heads are requested to designate
a point of contact to handle all awards matters to ensure that all
employees comply with the OTS Awards policy. Also, a log/file should
be maintained to track the awards and to account for the budget.
**EffDte: 02/15/2005 MCRT#: 1371 Div : D3 Cav : SecCls:
5-15.7 Time Off From Duty as an Incentive Award
The Time-Off Awards are an enhancement of the Incentive
Awards Program (IAP) to expand recognition afforded FBI employees for
their excellent efforts and performance which is substantially above
normal job requirements and performance standards. This program
allows the presentation of time off, without loss of pay or charge to
leave, in lieu of monetary recognition as an incentive award. Time-
Off Awards are intended to recognize superior accomplishments or other
personal efforts that contribute to the quality, efficiency, or
economy of government operations and are not intended to be a
substitute for monetary recognition through the IAP..
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(1) Criteria
The following are the types of contributions an
employee must make in order to be eligible for a Time-Off Award. All
contributions must be work-related performance while on duty or
performance of duties related to FBI employment.
(a) Making a high-quality contribution involving a
difficult or important project or assignment.
(b) Displaying special initiative and skill in
completing an assignment or project before a deadline.
(c) Using initiative and creativity in making
improvements in a product, activity, program, or service.
(d) Ensuring the mission of the FBI is accomplished
during a difficult period by successfully completing additional work
or a project assignment while still maintaining one's own workload.
(e) Deleted
(f) Producing additional benefits to the government
as the result of especially effective and timely evaluation of an
employee suggestion.
(2) Eligibility
(a) All employees are eligible for Time-Off Awards.
An employee may be granted a Time-Off Award regardless of his/her
length of service, and the receipt of a prior award is not
disqualifying. However, the same contributions should NOT be used as
the basis for a' Time-Off Award and another award unless the Time-Off
award or other award is deemed clearly NOT adequate to recognize the
value of the employee's contributions.
(b) Time-Off Awards for Senior Executive Service
(SES) members will be granted only incident to their annual
performance appraisals, and they will be ineligible for Time-Off
Awards throughout the year. Any exceptions will be based on highly
unusual events and will require the approval of the SES Board and the
Director.
(3) Amount of Award and Limitations
(a) The minimum amount of time off that may be given
is four hours, and Time-Off Awards can only be used in increments of
four hours or more unless an employee has less than four hours
remaining of their allotment.
(b) A full-time employee may be granted a maximum of
40 hours of time off from duty as an award for any single contribution
that meets the criteria.
(c) Time off granted to an employee must be
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scheduled and used within one year after the award is made, and this
one-year period may extend into the next leave year. However,
employees should be encouraged to use the award within 120 days.
Leave not used within a year of receipt will be forfeited and is not
restorable.
(d) The total amount of time off a full-time
employee may be granted during any one leave year is 120 hours.
(e) For part-time employees or employees with
uncommon tours of duty, the maximum amount of time off that can be
granted during any one leave year is the average number of hours of
work in the employee's biweekly scheduled tour of duty, and the
maximum amount that can be granted for any single contribution is one-
half of the total leave year maximum.
(f) A Time-Off Award cannot be converted to cash
under any circumstances. Time off can be transferred between offices
within the FBI, but cannot be transferred to another federal agency.
Also, time off cannot be recredited to an employee's account if the
employee has a break in service from the FBI for more than three
calendar days.
(g) There will be no limit on the number of
employees who can be recognized with Time-Off Awards in a particular
office. Each division/office head will have the authority to grant
the amount of time off he/she deems appropriate and which is within
the bounds of good management to ensure that the functions of the
division/office are not adversely affected by the use of Time-Off
Awards. When granting or recommending Time-Off Awards, consideration
should also be given to the recipients' leave status, i . e. , , end-of-
the-year "use or lose, " when time off could be a burden on the
division/office and adversely impact on operational needs.
(h) Employees in leave without pay (LWOP) status
cannot use Time-Off Awards. Time-Off Awards cannot be granted to
employees in an extended LWOP status .
(i) Use of a Time-Off Award should not affect an
employee's Availability Pay.
(j) Time-Off Awards may only be granted for above-
average, work-related performance while on duty or in the above
average performance of duties related to FBI employment.
(4) ' Relationship to other Awards and Consideration for
Promotion
The receipt of a Time-Off Award is not disqualifying
for the subsequent granting of any other cash incentive or honorary
award. However, the same contribution should not be used as the basis
for a Time-Off Award and another award, unless the time off is deemed
clearly not adequate enough to recognize the value of the employee's
contribution. In such rare cases, it may be appropriate to couple a
Time-Off Award with a cash award.
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(5) Approval Levels
(a) Awards may be approved by the division/ off ice
head, | and awards in the range of 8 to 16 hours may be approved by
first-line supervisors, without higher-level supervisory approval,
except for those in the Senior Executive Service, provided he/she is
at a level higher than those making the recommendations for the
awards. | Therefore, a Special Agent in Charge (SAC) may not recommend
and approve an award. However, the Assistant Special Agent in Charge
may make the recommendation for the SAC's approval.
(b) If an employee is assigned to an office other
than the one making the recommendation for recognition, the employee's
division head or SAC must be contacted, |or first-line supervisor if
the award is in the range of 8 to 16 hours, land the recommendation
should state that the recommendation is being made with the
concurrence of the employee's division | head, SAC, or first-line
supervisor. | The employee's office point of contact will be
responsible for entering the Time-Off Award.
(c) All Time-Off Award recommendations for members
of the Senior Executive Service (SES) must be submitted to the PRAU
where they will be forwarded to the SES Board and to the Director for
their approval.
(6) Form FD-812
Form FD-812 should be used to submit
recommendations. The form should contain the following information:
Name of employee; Social Security Number; Number of
hours of leave being granted; and a narrative of the employee's
performance which warrants the recognition. When awards are for eight
hours or less, the narrative may be a short, informative paragraph or
two setting forth the reason (s) for the award.
(7) Time-Off Award Certificate
After the FD-812 has been approved by the
division/office head, the Time-Off Award certificate should be
prepared for presentation to the employee. The certificate should
contain the following information: Name of employee; Number of hours
of leave being granted; and the Date presented.
(8) Documentation Requirements
A Time-Off Award must be supported by written
justification which indicates that the employee's contribution met one
of the criteria for the granting of this award and clearly merits the
amount of time off approved.
(9) Time Capture Record
Upon presentation of a Time-Off Award, the award
should be recorded in the Bureau Personnel Management System (BPMS)
through the screen specifically designed for these awards. The date
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presented is to be entered as the effective date. The leave can then
be requested and used by the submission of an FD-282 (Leave Request) .
A notation should be made on the FD-282 that the request is for a
Time-Off Award. The used leave should also be recorded in the BPMS
and on the FD-420 (Attendance Register) or the FD-420a (Attendance
Register/TURK) as a Time-Off Award.
(10) Deleted
**EffDte: 06/24/2004 MCRT#: 1342 Div : D3 Cav: SecCls:
5-16 CERTIFICATES OF COMMENDATION
(1) A certificate of commendation may be recommended when
an employee's contributions do not meet the criteria for a cash award
but are of such significance that recognition is warranted.
(a) Recommendation for a certificate of
commendation from the Director should be made only when the
recommending official is convinced that certain elements of the
employee's performance are above normal and reasonable performance
expectations sufficient to warrant special recognition but do not meet
the standards for a cash award.
(b) Recommendations for certificates of
commendation from the Director may be submitted in electronic
I communication form | or on the FD-255 | f or the attention of the | head of
| office. | However, if recommendations are being made for certificates
of commendation in addition to recommendations for incentive awards,
they may be added to the FD-255, with the appropriate justification.
(2) Letter from the division head or SAC. Division
heads and SACs should commend their employees over their own
signatures when it is believed an employee's performance warrants,
recognition but does not meet the requirements for a certificate of
I commendation from the Director.
(3) If recognition of a particular contract employee is
deemed appropriate, a written communication to the Contracting
Officer, with a copy to the Contracting Officer's Technical
Representative, ■ should be prepared. For recognition under the FBI's
Incentive Awards Program, the PRAU no longer prepares letters of
commendation for individuals who perform services to the Bureau
through a contractual agreement.
**EffDte: 07/19/2002 MCRT#: 1229 Div: D3 Cav: SecCls:
5-17 LETTERS OF APPRECIATION TO NON-BUREAU PERSONNEL
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Letters of appreciation may be recommended to recognize
the efforts of individuals other than employees of the FBI who have
contributed to the Bureau's mission or who have been cooperative in
furthering our mission. Recommendations for such letters should be
submitted on Form FD-468 (Correspondence Matters, Recommendation for
Letter from Director) , not on Form FD-255 (Recommendation for
| Incentive Award), and forwarded to the | Executive, Congressional, and
| Public Constituent Services Unit (formerly Correspondence
| Unit) , | Office of Public and Congressional Affairs, FBIHQ. (See MAOP,
Part II, 11-1.2, for details.)
**EffDte: 05/13/1996 MCRT#: 541 Div : PA Cav: SecCls:
5-18 PUBLIC SERVICE AWARDS PROGRAM AND CERTIFICATES OF
APPRECIATION
Cooperative relationships between the FBI and the public
have many benefits. There are three effective means to appropriately
recognize the contributions made to the FBI's mission by private
citizens or organizations.
**EffDte: 08/30/1991 MCRT#: Div: PA Cav: SecCls:
5-18.1 Public Service Award Plaques
(1) Division heads and SACs | have authority for the
awarding of public service plaques in appreciation of highly
significant contributions for presentation to private citizens or
organizations located within the 50 states. All division heads and
SACs must therefore establish proper procedures, including indices
checks and a control file, to ensure that all candidates meet the
following guidelines.!
(2) | Division heads and SACs should | demonstrate that the
individual or organization provided one of the following:
FBI.
(a) Exemplary service in an advisory capacity to the
(b) Direct assistance to the FBI through actions or
useful ideas which are beneficial in eliminating or minimizing
problems or actively contribute to the FBI mission accomplishment.
(c) Assistance to the FBI of a highly significant
nature through the cooperative use of facilities, equipment or
manpower .
(d) Courageous or heroic action in support of FBI
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activity or mission.
I (3) | The field office can then use their supply account to
| purchase the plaques. The use of appropriation funds to purchase
| plaques for on-board Department of Justice employees is prohibited. |
I (4) | Plaques may be obtained from outside commercial
| sources, including the FBIHQ Recreation Association Store, or a local
I establishment of office's choice. |
**EffDte: 02/27/1995 MCRT#: 370 Div : PA Cav : SecCls:
5-1 8.2 Certificates of Appreciation
(1) SACs or division heads may request a Certificate of
I Appreciation for presentation to an individual | who | has rendered
assistance and/or cooperation to the Bureau, in lieu of letters of
| appreciation. | The certificate should be presented by the SAC,
| division head, or other appropriate FBI representative. |
(2) The request with supporting justification should be
directed to the Executive, Congressional, and Public Constituent
Services Unit (formerly Correspondence Unit), OPCA, Room 6236, using
| Form FD-4 68. There are | 13 | different certificates which should be
I identified accordingly when requests are made. | Certificates are
| further identified on Form FD-468. |
(3) The Certificate of Appreciation is signed by the
| Director and enclosed in a | cardboard | folder or a leatherette diploma
I holder with a gold FBI seal applied on the cover. | (When requests
I exceed 25, cardboard diploma holders with gold FBI seals will be
| used. ) |
**EffDte: 04/13/1999 MCRT#: 874 Div: PA Cav: SecCls:
5-18.3 Certificate of Appreciation for Use by the Special Agent in Charge
(1) Each FBI field office has a supply of Certificates of
Appreciation enclosed in a blue paper folder designed to be signed and
presented by the Special Agent in Charge. The criteria of this
certificate are established by the Special Agent in Charge.
(2) | The National Press Office, OPCA, | should be contacted
for additional Certificates of Appreciation for use by the Special
Agent in Charge.
**EffDte: 02/29/1996 MCRT#: 496 Div: PA Cav: SecCls:
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5-19 SUGGESTION PROGRAM
(1) The employee suggestion program can be a useful and
important employee-management communication device. It allows the
employee to suggest improvements in Bureau operations and enables
management to reward those employees who make significant
contributions .
(2) Suggestion awards are made to employees in
recognition of idea-type contributions which directly contribute to
productivity, economy, efficiency, or directly increase effectiveness
in carrying out the FBI's programs or mission.
(3) Criteria for Consideration of Suggestion
(a) The suggestion must be outside the employee's
responsibility. In rare cases, contributions within the employee's
job description may be awarded if they are so superior or meritorious
as to warrant this special recognition. The official position
description and performance requirements will be used to measure the
acceptable level of competence and as the basis for determining what
is normally expected of an employee occupying that position.
(b) The benefit to the FBI in terms of direct
contributions in efficiency or economy must be equivalent to a savings
of $250 in order to qualify for a cash award. Benefits will usually
be based on the first full year of operation following adoption of a
suggestion. Benefits may be determined by estimating the net savings
over a longer period when there are high first-year costs required to
implement the suggestion. In instances where the value cannot be
determined by estimated net savings, it will be determined by
reference to the intangible awards table (see 5-19(6) (c) ) .
(c) Suggestions that deal with routine employee
services, benefits, working conditions, housekeeping, or maintenance
of buildings and grounds should be handled through normal
administrative channels and not accepted into the suggestion system.
Items of supply which can be procured through simple requisition, or
proposals which offer no specific means to improve operations, should
not be entered into the program unless the contribution to economy,
efficiency or increased effectiveness of operation can be clearly
demonstrated. Also, proposals which would obviously cost more to
process than the tangible benefit achieved will not be evaluated under
this program but will be returned for oral acknowledgment.
(d) Inventions and patent disclosures may serve as
the basis for a suggestion award when the idea meets the criteria set
forth above. The patent application and an analysis of the estimated
direct dollar benefits will meet the minimum documentation
requirements .
I | (e) Suggestions that are submitted into the program
[ will not receive recognition if the idea has previously been submitted
| or is currently under consideration by an FBI entity. |
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(4) Documentation Requirements for Suggestion Awards
(a) Form FD-252 should be utilized to submit
suggestions (original and three copies) . If the suggestion relates to
a form, submit four copies of the current form and four copies of the
proposed form.
(b) Form FD-252 must be signed by the suggester and
forwarded to the Performance, Recognition and Awards Unit,
Administrative Services Division for appropriate action.
(c) A brief description of the current practice or
procedure, if any, should be noted, as well as any manual citation, if
appropriate.
(d) A description of the suggested change to
existing practice or procedure, or if it is a suggestion to add a new
practice or procedure, a description of what is to be added.
(e) An analysis of the direct estimated net dollar
benefit which would result over the first 12-month period after
adoption should be set forth. The suggester is to document as fully
as possible the actual or anticipated savings which will result from
adoption of a suggestion.
(5) Adoption of Suggestion and Group Awards
(a) Suggestions not adopted when made remain active
| for|six months. | If adopted within|a six-month Iperiod, the original
suggester will be entitled to consideration of an appropriate award.
| Suggestion becomes invalid if not | evaluated! within | six months from the
| date of the suggestion. |
(b) When awards are granted in connection with
adopted suggestions, the use of the suggestion by the United States
shall not form the basis of a further claim.
(c) If two or more employees independently and
simultaneously submit identical ■ suggestions, any award will be equally
divided.
(6) Amount of Cash Award for Adopted Suggestions
(a) In the interest of uniformity, the amount of an
| award will be determined by FBIHQ; therefore, the | amount | of an award
[ | will be determined by FBIHQ and approved by the head of office or
| SAC. |
(b) Cash awards resulting in tangible benefits will
be determined in accordance with the following scale for such
benefits :
TANGIBLE BENEFITS AWARD
Up to $100,000 10 percent of benefits
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$100,001 and above $10,000 plus 1 percent of
in benefits benefits over $100,000
(c) Cash awards resulting in intangible benefits
will be determined in accordance with the following scale: (See MAOP,-'
Part 1, 5-19(3) (b) . )
VALUE OF BENEFIT EXTENT OF APPLICATION
Limited Extended Broad General
Moderate $ 25-125 $ 125-325 $ 325-650 $ 650-1,300
Substantial $ 125-325 $ 325-650 $ 650-1,300 $1,300-3,150
High $ 325-650 $ 650-1,300 $1,300-3,150 $3,150-6,300
Exceptional $ 650-1,300 $1,300-3,150 $3,150-6,300 $6,300-10,000
(d) ■ Cash awards for suggestions will not affect the
annual salary of an employee; however, federal withholding tax will be
deducted from such award prior to payment.
(7) Streamlining Committee or Suggestion Coordinator
(Optional) . Each division may designate either a Suggestion
Coordinator or Streamlining Committee. Their function is to
facilitate suggestions to improve Bureau operations. This decision
will be left to the discretion of- the division head or SAC who is
responsible for lending appropriate support to the Suggestion Program.
**EffDte: 11/22/2002 MCRT#: 1245 Div : D3 Cav : SecCls:
5-20 SERVICE AWARDS
Certificates of service and service award keys are .
presented to Bureau employees in connection with their 10-, 20-, 25-,
| and 30-year anniversaries. | Bureau employees celebrating their 40-,
I 45-, 50-, and 55-year anniversaries will receive congratulatory
| letters in lieu of certificates. | Additional service awards follow:
(1) 35-Year Service Award
Scroll Award
(2) '40-Year Service Award
I (a) | Deleted |
(b) Service award key cluster
(c) Engraved watch
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I (d) | Deleted |
(3) 45-Year Service Award
I (a) | Deleted |
(b) Three-dimensional plaque of FBI Seal
I (c) | Bookends |
I (d) | Deleted |
(4) 5 0-Year Service Award
I (a) | Deleted |
(b) Cuff links and tie clasp for men
(c) Brooch for women
(d) | Deleted |
I (5) 55-Year Service Award
(a) Engraved crystal eagle
(6) 60-Year Service Award
(a) FBI Medal for Meritorious Achievement!
**EffDte: 08/09/2000 MCRT#: 1007 Div : D3 Cav : SecCls:
5-20.1 Computation of FBI Service
(1) Based on total period(s) of active duty
(2) Leave without pay in excess of six months is deducted
(3) In general, any period of separation from the
Bureau's rolls is deducted. Military service is credited for those
employees who possess mandatory restoration rights to the positions
they hold when they enter the military and who' fulfill any criteria
necessary to protect such rights.
**EffDte: 03/29/1990 MCRT#: Div: D3 Cav: SecCls:
5-20.2 Presentation of Service|Awards|
1(1) Anniversary awards should be presented to employees
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by the heads of office. At the employee's request, the Director will
present, as his schedule allows, service awards to those employees
celebrating 25 years, or longer, of Bureau service who are assigned to
FBIHQ (excluding the Criminal Justice Information Services Division -
employees assigned to Clarksburg, WV, but including any employees
assigned to Quantico, Virginia; Washington Field Office; and the
Critical Incident Response Group (CIRG) ) . Bureau employees in
Clarksburg, WV, and all field offices, other than CIRG, celebrating
25-year, 30-year, or 35-year anniversaries who wish to meet with the
Director for presentation of their service awards need to submit their
request by EC with the understanding that all expenses are to be borne
by the requesting employee. The EC should be addressed to
Administrative Services, Attn: Performance, Recognition, and Awards
Unit (PRAU), Room 6860, at FBIHQ, at least one month prior to the
employee's anniversary.
(2) The PRAU, via an EC, will contact all Bureau
employees assigned to field offices (excluding CIRG) celebrating a 40-
year anniversary or longer, through the employee's division front
office, inviting the recipient to travel to FBIHQ to meet with the
Director for presentation of his/her service award. Travel costs for
the recipient and one guest will be reimbursed by the Bureau. |
**EffDte: 08/09/2000 MCRT#: 1007 Div : D3 Cav : SecCls:
5-20.3 Loss of Service Award Key
| A replacement key, at the employee's expense, may be
requested by submitting a communication to the PRAU, Administrative
Services Division, Room 68 60. In the communication, the employee must
explain the reason for the request and should also include their
official Bureau name and entry on duty date, as well as a personal
check, cashier's check or money order made payable to the FBI. Due to
the fluctuating prices of gold, an employee must contact the PRAU to
obtain a current price. |
**EffDte: 08/09/2000 MCRT#: 1007 Div: D3 Cav: SecCls:
5-21 FEDERAL SERVICE EMBLEM
A Federal service emblem, with FBIHQ concurrence, is
available at the employee's specific request when an employee does not
qualify for a Bureau service award key under the following
circumstances:
(1) Employee must have completed at least 10 years of
civilian and/ or military service, exclusive of FBI service.
(2) Employee must have completed at least one year of FBI
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service.
**EffDte: 08/25/1989 MCRT#: Div : D3 Cav: • SecCls:
5-22 RETIREMENT PLAQUE
I A retirement plaque is authorized for presentation to
employees who retire, including disability retirements, from the
Federal Government while employed by the FBI regardless of their years
of FBI service. These employees may be eligible for retirement under
the provisions of the Civil Service Retirement System or the Federal
Employees Retirement System. Special Agent badges and credentials or
support employee credentials or identification cards may be
appropriately mounted on the plaque. The employee may request a
walnut shield-type plaque without badges, credentials or cards. The
retirement plaque will reflect only the dates of FBI service. |
**EffDte: 08/25/1989 MCRT#: Div: D3 Cav: SecCls:
5-22.1 Request for Retirement Plaque
(1) Type of plaque and employee's desire for such plaque,
as well as approval by division head or SAC, should be determined at
time of exit interview and appropriately indicated on the exit
interview form (FD-193).
(2) FBIHQ division heads and SACs should ensure that
credentials and badges or identification cards are submitted by
routing slip to FBIHQ in a sealed envelope at least 45 days prior to
retirement date. Credentials and badges or identification cards
should be submitted to FBIHQ by registered mail, Attention:
Employee Benefits Unit, | Personnel | Division .
**EffDte: 04/21/1994 MCRT#: 226 Div: D3 Cav: SecCls:
5-22.2 Presentation of Retirement Plaque
(1). The Director will personally present, as his schedule
allows, retirement plaques to employees assigned to FBIHQ and to the
Washington Metropolitan Field Office, at the employee's written
request. These requests should be made at the time of the exit
interview to Attention: Employee Benefits Unit, | Personnel | Division .
(2) In the Director's absence, retirement plaque will be
presented by the FBIHQ division head or SAC.
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(3) In the field, exclusive of Washington Metropolitan
Field Office, SACs or, in their absence, ASACs will present retirement
plaque to recipient employee.
**EffDte: 04/21/1994 MCRT#: 226 Div : D3 Cav : SecCls:
5-23 MEMORIAL PLAQUE
A memorial plaque is authorized, but only after the
specific request of surviving family member (s), for a Bureau employee
who dies while on the rolls, without regard to age or length of Bureau
service. Requests should be forwarded to FBIHQ, Attention:
| Employee Benefits Unit, | Administrative Services | Division .
(1) In each instance, the availability of a plaque should
be communicated to the next of kin.
(2) The memorial plaque will be identical to the employee
retirement plaque, with the exception of the inscription and the
perforation on the credentials.
(3) The inscription plate will read "Presented to the
Family of , in Memory of his (her) Loyal and Devoted
Service to the Federal Bureau of Investigation, 19 - 19 ."
(4) Deleted
**EffDte: 08/26/2002 MCRT#: 1224 Div: D3 Cav: SecCls:
5-23.1 Memorial Plaques for Agents Killed in the Line of Duty but Not Necessarily
During an Adversarial Confrontation
(1) The FBI has long honored Agents killed in the line of
duty as a result of direct adversarial impetus — that is, at or by the
hand of an adversary, or who die as a result of an adversarial
confrontation. These Agents' names have been placed on a permanent
plaque so that their great sacrifice will always be remembered. The
inscription on this plaque reads: "In memory of Special Agents of the
Federal Bureau of Investigation who were killed in the line of duty as
the direct result of an adversarial action." The criterion for
inclusion on this plaque is as follows: "Agent or Agents who are
killed in the line of duty as a result of direct adversarial
impetus — that is, at or by the hand of an adversary or who die as a
result of an adversarial confrontation." The plaque consists of the
names of the Agents under the Special Agent badge.
(2) The FBI also honors those Agents who lose their lives
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in the performance of their duty, but not necessarily during an
adversarial confrontation. The inscription on this plague will read:
"In memory of Special Agents of the Federal Bureau of Investigation
who lost their lives in the performance of a law enforcement duty."
This would include situations involving "hot pursuit" of criminals and
when death results from the Agent taking immediate action to save the
life or lives of others. It would not include deaths caused, in whole
or in part by voluntary intoxication of the Agent, internal misconduct
of the Agent, the' Agent's intention to bring about his/her death
(suicide) or gross negligence by the Agent. Specific guidelines for
inclusion on this new plaque have been developed. FBIHQ will decide
which Agents are to be honored.
(3) Both plaques will be prominently displayed, side by
side, in the Hall of Honor at the FBI Academy at Quantico, FBIHQ, and
in all field offices.
**EffDte: 08/30/1991 MCRT#: Div : D3 Cav: SecCls:
5-24 HONORARY MEDALS PROGRAM (H MP)
(1) The HMP is an enhancement of the Incentive Awards
Program and was created to expand recognition afforded FBI employees
by allowing the presentation of honorary medals in acknowledgement of
their acts of heroism, valor and meritorious achievements. The medals
are: FBI Medal of Valor; FBI Shield of Bravery; FBI Medal for
Meritorious Achievement; FBI Star; and FBI Memorial Star. The medals
| | are | 14k gold filled and accompanied by replica 14k gold-filled
| lapel pins. | They are | engraved on the reverse sides with the
' names of the honorees and placed in decorative shadow boxes for
presentation .
(2) These medals may also be presented to federal, state,
and local law enforcement personnel who are detailed to or working
with the FBI in an investigative capacity under the Bureau's direction
for performance in the- direct line of duty, or within the scope of
their assigned duties relating to the FBI's mission.
| (3) In instances where recognition of a group is
warranted, in lieu of individual medals, the approved medal mounted on
a plaque and imprinted with the names of the honorees is awarded to
the office to which the group is assigned. Each recipient is
presented with an individual award device as well as a replica lapel
pin. |
**EffDte: 04/21/1999 MCRT#: 875 Div: D3 Cav: SecCls:
5-24.1 Qualifying Criteria for FBI Employees
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(1) FBI Medal of Valor
(a) Exceptional (extreme) act of heroism.
(b) Voluntary risk of personal safety and life.
(c) Act occurs in the direct line of duty and/or
within scope of FBI employment and in the face of criminal
adversary(s) .
(d) Resolution and fortitude are of such a degree as
to overcome several obstacles to neutralize a significant life-
threatening crisis.
(2) FBI Shield of Bravery
(a) Brave and courageous acts occurring in the
direct line of duty and/or within the scope of FBI employment.
(b) Voluntary risks in hazardous duties to extend
major assistance to, i.e., task force or undercover operations, grave
situations and/ or crisis confrontations associated with the highest
priority cases of the FBI.
(c) Performance occurs on duty and may include
action in connection with a high-priority police cooperation matter or
organized crime penetration. (For example, involving lead hostage
negotiators or undercover Agents, continuously exposed to hostile,
dangerous individuals.)
(3) FBI Medal for Meritorious Achievement
(a) FBI Service
1. Awarded for extraordinary and exceptional
meritorious service in a duty of EXTREME challenge and GREAT
responsibility; i.e., a sufficient accumulation of DEMONSTRATED DEEDS
and ACTS of such magnitude, over a requisite time period, to clearly
judge the employee's service to the FBI and Nation to be beyond our
highest expectations (beyond performance solely justifying Quality
Step | Increases, or | significantly substantial cash awards).
2. Extraordinary and exceptional achievements
in connection with criminal or National Security cases, as well as
senior executives who have given long and outstanding service upon
their retirement, etc.
(b) Exceptional Performance
1. A decisive, exemplary act that results in
the protection of life (lives) or the direct saving of life (lives) in
severe jeopardy.
2. The recipient need not be in any risk of
danger to his/her life or personal safety.
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3. The lifesaving act or deed may occur during,
before, or after the employee's official duty hours. For example,
ranging from a support employee's cardiopulmonary resuscitation act to
a SWAT member's success in properly neutralizing an extremely
dangerous subject with hostages.
4. Brave and courageous acts occurring in the
direct line of duty and/or within the scope of FBI employment or
voluntary risks in hazardous duties which - are not at a level to
justify the FBI Shield of Bravery, but are of such magnitude that a
medal is appropriate recognition.
(4) FBI Star
(a) Serious injury sustained in the direct line of
duty from physical confrontation with criminal adversary (s ) , or by a
device for purposes of ambush.
(b) Injury inflicted by weapons to include hands,
fists, feet, clubs, (blunt instruments), knives, firearms, and
explosives.
(c) The FBI Star is awarded for gunshot wounds of
any variety inflicted as a result of an adversarial action when it is
determined that the injured employee was acting in accordance with
governing policy and exercising reasonable judgment.
(d) Injury in the case of all weapons, with the
exception of gunshot wounds, that are so severe as to require
substantial emergency room sutures, hospitalization and/or
COMPREHENSIVE medical treatment for a SUSTAINED period of time (e.g.,
severe concussion and broken bones) .
(e) Superficial abrasions, skin discolorations,
sprains and other minor injuries will be disqualified for
consideration in most cases.
(5) FBI Memorial Star - Death when killed in the line of
duty as the direct result of an adversarial action; loss of life in
the performance of a law enforcement duty; and when actions resulting
in death occur in the scope of FBI employment and in the face of
criminal adversary ( s) . Note: Under circumstances wherein an Agent is
slain "in the scope of FBI employment, " the propriety of the actions
must be adjudicated internally prior to the presentation of the FBI
Memorial Star.
**EffDte: 04/25/2001 MCRT#: 1096 Div : D3 Cav: SecCls:
5-24.2 Qualifying Criteria for Law Enforcement Personnel
(1) FBI Medal of Valor
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(a) Exceptional (extreme) act of heroism.
(b) Voluntary risk of personal safety and life.
(c) Act occurs in the direct line of duty and/or
within scope of employment while detailed to or working with the FBI
in an investigative capacity under Bureau direction and in the face of
a criminal adversary (ies) .
(d) Resolution and fortitude are of such a degree as
to overcome several obstacles to neutralize a significant life-
threatening crisis.
(2) FBI Shield of Bravery
(a) Brave and courageous acts occurring in the
direct line of duty and/or within scope of employment while detailed
to or working with the FBI in an investigative capacity under Bureau
direction.
(b) Voluntary risks in hazardous duties connected to
task force or undercover operations, or grave situations and/or crisis
confrontations associated with the highest priority cases of the FBI.
(c) Performance occurs on duty and includes actions
in connection with a high-priority police cooperation matter or
organized crime penetration. (For example, involving lead hostage
negotiators | or | undercover roles, continuously exposed to hostile,
dangerous individuals.)
(3) FBI Medal for Meritorious Achievement
(a) Brave and courageous acts occurring in the
direct line of duty and/or within the scope of employment while
detailed to or working with the FBI in an investigative capacity under
Bureau direction or voluntary risks in hazardous duties which are not
at a level to justify the FBI Shield of Bravery, but are of such •
magnitude that a medal is appropriate recognition.
(b) A decisive, exemplary act that results in the
protection of life (lives) or the direct saving of life (lives) in
severe jeopardy.
(c) The recipient need not be in any risk of danger
to his/her life or personal safety.
(4) FBI Star - Serious injury sustained in the direct
line of duty from a physical confrontation with a criminal
adversary (ies) , or by a device for purposes of ambush while detailed
to or working on an FBI investigation under Bureau direction.
(5) FBI Memorial Star - Death in the line of duty as the
direct result of an adversarial action; loss of life in the
performance of a law enforcement duty; and when death occurs in the
face of a criminal adversary (ies) while detailed to or working with
FBI investigative matters under Bureau direction.
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"EffDte: 04/21/1999 MCRT#: 875 Div : D3 Cav: SecCls:
5-24.3 Nomination Procedures
(1) | Nominations for honorary medals are to be submitted on
Form FD-255a within a reasonable time period after the occurrence of
the act, deed, or service to be honored. If more than one year has
lapsed since the incident occurred, the field or Headquarters head of
office must specifically address the reasons why more timely
recognition was not sought.
Note: Effective December 31, 1999, medal recommendations based on
events that occurred prior to 1989 will no longer be accepted. |
(2) | The FBI Memorial Star is intended to be presented to
the primary next of kin as soon as possible after the interments of
Special Agents or federal, state, or local law enforcement personnel
killed in the line of duty or in the performance of a law enforcement
duty. |
(3) | Any individual having personal knowledge of an act,
deed, or service believed to merit an honorary medal may submit a
statement of facts to a field or Headquarters head of office. Each
head of office is required to PERSONALLY screen the nomination and
include comments concerning the specifics of the event and employees'
performance in terms of criteria for the medal (s) being recommended,
and submit it, by Form FD-255a, to the' Performance, Recognition and
Awards Unit (PRAU) . A division head should also comment negatively if
he/she believes the medals' criteria were not met. It is crucial that
appropriate supporting documents, e.g., administrative inquiry reports
when an event involved an Agent's use of his/her weapon, newspaper
clippings regarding the event, and the like are attached to the
recommendation. |
I I (4) | Recommendations of medals for federal, state, and
local law enforcement personnel should be made by the FBI
office/division head where the activity warranting the medal took
place and must also contain the concurrence of the head of the
employing agency.
I I (5) | The FD-255a should be submitted to the PRAU,
I | Administrative Services Division. |
I | (6) | In the interest of timeliness when recommendations are
| made for the FBI Memorial Star, immediate | electronic communication
| (EC) | may be submitted to the PRAU. The | EC | should include a succinct
description of the circumstances wherein an Agent or law enforcement
employee was killed.
*.*EffDte: 04/21/1999 MCRT#: 875 Div: D3 Cav: SecCls:
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| 5-24.4 |FBIHQ Approval Process (Moved from 5-24.7)|
|A panel, chaired by the Assistant Director of the
Administrative Services Division (ASD) and consisting of two Special
Agents in Charge and two Special Agents, is convened as often as
necessary to review medal nominations and make recommendations to the
Deputy Director. Representatives of the Employee Assistance Unit,
Shooting Incident Review Group, and the PRAU are also present to
assist the voting members of the panel. The criteria for the Memorial
Star, and in some cases, the FBI Star, are sufficiently clear to allow
for the submission of a recommendation by the ASD without convening a
panel . |
^EffDte: 04/21/1999 MCRT#: 875 Div : D3 Cav : SecCls:
| 5-24.5 (Presentation of Medals (Moved from 5-24.6)|
(1) The FBI Memorial Star will be presented by the Director
or his personally designated representative to the primary next of
kin. | The order of precedence to establish the primary next of kin as
surviving spouse, eldest child, father or mother, eldest sibling, or
eldest grandchild is in accordance with the manner prescribed in the
Department of Army regulations governing posthumous awards and
decorations. |
(2) [The FBI Medal of Valor, Shield of Bravery, Medal for
Meritorious Achievement, and FBI Star are normally presented by the
head of the office to which the recipient is assigned in a suitable
ceremonial setting. |
(3). | Upon approval of each medal, the submitting office will
be advised to plan a presentation ceremony and coordinate with the
PRAU to ensure that the medal is appropriately inscribed and forwarded
to the office in time for the event. |
**EffDte: 04/21/1999 MCRT#: 875 Div: D3- Cav: SecCls:
15-24.6 | Moved to 5-24.5|
**EffDte: 04/21/1999 MCRT#: 875 Div: D3PA Cav: SecCls:
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5-24.7 |Moved to 5-24.4|
**EffDte: 04/21/1999 MCRT#: 875 Div : D3 Cav : SecCls:
5-25 DIRECTOR'S ANNUAL AWARDS FOR EXCELLENCE
The Director's Annual Awards for Excellence offer the
Director and other FBI officials the opportunity to recognize, in a
public ceremony, Bureau employees for their outstanding contributions
and exceptional service to the FBI and its mission. There are 17
categories of awards, and to the extent the quality of the award
nominees warrant, the opportunity exists to present more than one
award per category. Also, more than one employee will be eligible for
consideration to receive one award, e.g., a group award. A two-tiered
system will be used with the first tier consisting of three awards.
The second tier will be only slightly lower in significance and will
consist of | 14 | awards.
**EffDte: 07/19/2002 MCRT#: 1229 Div: D3 Cav: SecCls:
5-25.1 First Tier
(1) The Director's Annual Award for Excellence in
. Management
(a) Description: This award is designed for someone
in a supervisory position, not necessarily a Special Agent Supervisor,
and is one of the three highest awards the Director can bestow.
(b) Criteria: The nominee must have demonstrated
outstanding leadership and have made extraordinary contributions or
achievements in the improvement of operational or program
effectiveness, efficiency or productivity; have reduced or eliminated
costs through innovative or special managerial or administrative
efforts and initiatives; or have benefited the FBI through the
reduction or elimination of fraud, waste, mismanagement or abuse.
(2) The Director's Annual Award for Excellence in
Investigation
(a) Description: This award is designed for someone
who has made significant contributions to an investigation and is one
of the three highest awards the Director can bestow.
(b) Criteria: The nominee must have achieved major
accomplishments in an investigation (s) and demonstrated extraordinary
competence in complicated, long-term, and/or sophisticated cases of
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major significance.
(3) The Director's Annual Award for Excellence in
Investigative Support
(a) Description: This award is designed for someone
I in a support | capacity, with eligibility extended to both support
| employees and Agents, | and is one of the three highest awards the
Director can bestow.
(b) Criteria: The nominee must have demonstrated
exceptional motivation, initiative, and performance in the support of
investigative efforts and/or displayed extraordinary achievements that
overcame unusual difficulties or unique situations of great importance
to the mission of the FBI.
**EffDte: 02/29/1996 MCRT#: 495 Div : D3 Cav: SecCls:
5-25.2 Second Tier
(1) The Director's Award for Distinguished Service to the
Law Enforcement Community
(a) Description: This award is designed for someone
who contributed to better relations among law enforcement and/or
governmental agencies .
(b) Criteria: The nominee must have demonstrated an
exceptional ability to work with outside agencies, resolve
difficulties and differences, and achieved significant results through
coordinated law enforcement and/or governmental agency efforts.
(2) The Director's Award for Information Management or
Technical/Scientific Advancement
(a) Description: This award is designed for someone
who develops law enforcement techniques in the area of information
management, technical services, or scientific advancement.
(b) Criteria: The nominee must have made
outstanding achievements in the area of information management,
technical services, or scientific advancement that significantly
contributed to the mission of the law enforcement community or
resolving a case of major importance.
(3) The Director's Award for Outstanding Criminal
Investigation
(a) Description: This award is designed for someone
involved in a criminal investigation (s) of a significant nature.
(b) Criteria: The nominee must have demonstrated
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extraordinary ingenuity, initiative, and competence in overcoming
serious obstacles and. achieved significant results in a complex
criminal investigation (s) of major importance.
(4) The Director's Award for Outstanding National
Security Investigation
(a) Description: This award is designed for someone
who is involved in a National Security investigation of a significant
nature.
(b) Criteria: The nominee must have demonstrated
extraordinary ingenuity, initiative, and competence in overcoming
serious obstacles and achieved significant results in a National
Security investigation (s) of major importance.
(5) The Director's Award for Outstanding Counterterrorism
Investigation.
(a) Description: This award is designed for someone
who is involved in a counterterrorism investigation of a significant
nature.
(b) Criteria: The nominee must have demonstrated
extraordinary ingenuity, initiative, and competence in overcoming
serious obstacles and achieved significant results in a
counterterrorism investigation (s ) of major importance.
(6) The Director's Award for Distinguished Service by a
Support Employee
(a) Description: This award is designed for a
support employee who has made exceptional contributions to the FBI.
(b) . Criteria: The nominee must have demonstrated
outstanding motivation, initiative, and performance in support of the
FBI's mission and/or displayed significant achievements that overcame
unusual difficulties or unique situations.
Service
(7) The Director's Award for Sustained Distinguished
(a) Description: This award is designed for someone
who has contributed to the FBI for an extended period of time, an
"unsung hero" award.
(b) Criteria: A nominee in this category ideally
will have demonstrated significant contributions to the FBI over a
period. of 20 years or longer. Service of less than 20 years will be
considered relative to the candidate's potential length of career
service, scope of accomplishment, and eligibility under other award
categories. The contributions on a single project or investigation
may not be sufficiently significant to justify a Director's award.
However, the totality of their service to the FBI warrants special
recognition.
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Manl-ID: MAOPP1 MANUAL OF ADMIN OPERATIONS AND PROCEDURES PART 1
(8) The Director's Award for Distinguished Service by a
New Employee
(a) Description: This award is designed for someone
■who significantly contributes to the FBI with less than five years in
the FBI and is to serve as an incentive and role model for all
employees, especially new employees. This is a type of "Rookie of the
Year" award.
(b) Criteria: The nominee must have demonstrated
exceptional ability and resourcefulness to overcome obstacles in light
of limited experience that significantly contributed to fulfilling the
FBI's goals.
(9) The Director's Award for Exceptional Public Service
(a) Description: This award is designed for an
individual or organization outside of the FBI who contributed to the
FBI's mission, a "public service" award.
(b) Criteria: The nominee must have demonstrated
great unselfishness and public consciousness in assisting the FBI in
achieving exceptional results.
(10) The Director's Award for Equal Employment
Opportunity
(a) Description: This award is designed to
recognize the most significant contribution (s) to the- Equal Employment
Opportunity (EEO) Program.
(b) Criteria: This award is not restricted to EEO
Program officials. A nomination may be for any manager or employee
who has made significant contributions to the FBI's EEO Program.
These contributions could be in the areas of leadership, training,
recruitment, conciliation, or any other activity that enhances
employment opportunities for women and minorities including Blacks,
Hispanics, Native Americans and Asian Americans within the FBI.
Consideration should be given for accomplishment (s ) in the following
area (s) :
1. Performance of a special service beyond the
normal job requirements which results in significant improvement and
effectiveness of EEO Program operations.
2. Development and implementation of a program
or activity which greatly improves public understanding of the FBI's
EEO Program and the Agency mission.
3. Development and implementation of a program
or activity which greatly improves employees ' understanding of the
FBI's EEO Program and the Agency mission.
4. Performance of a single or continuing act
which clearly strengthens the effectiveness of some aspect of the EEO
process.
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-nx-io: Haopp, ^ 0F ^ ^^ ^ ^^ ^ ^
activities and programs whiS addressed n the implementation of EE0
of FBI employees, and contributes to the f t "^ 3nd con ^ns
harmony and cohesiveness within the FBI wSf"^?' Und - St ^ing,
activities that enhance 'the*?™ 11°'^^ acco -Pl^hment s or
ice the EEO Program
especially innovative/or SS^iov^ ^^ EE ° Pr0gram that " e
excepts (e.g., . new recruiSe^Lt i ^"SSX^^t,.
' Disabled ^See^/b^ ^^ *
to the employee w^^ha^Sder^t^nd- ^^ 1S . lntended to *» given
employees, or a disabled employee If 9 SSrV1Ce to disabled
warrants recognition. empl °y ee w ho S e above-average performance
services as reoru^nTlZloUelTTriliT "** ^ rSCeived f ° r Such
accommodations or eguinment f^! V? dlng services,
ernployee may be rec^nKd for his/I ^ ei ^ l0 ^ e ^ «, a disabled
face of formidable obstacfef exemplary performance in the
1 I d2) | The Director's Award for Special Achievement
Special Agent or iuLoTt^TolTe ^Tt* ***** iS d6Signed f « a
of expertise or in a foreign serviS e ^lled in a specific area
achievements do not fit other ~? assignment, and whose
other categories of the Director's Awards.
extraordinary initiltiv^ngenuitv 6 T^T "^ haVe d ™strated
his/her "area of expertise T^ ^ 1106 and Performance in
specialization that enhances the miL^n 0?^%^^ " ^
I d3) I The Thomas E. DuHadway Humanitarian Award
recognize Bureau imploSslSt'best™ 3 T^ " dSSigned to
Director DuHadway' s con „ ", ■ ™plify former Assistant
through Peraona/crisea, «J«S of 'S^ 111111 ? 11 ^ 8 t0 ^ ° the "
or religion, with no expectationTof P^Sal^*- ^ ^ raCe ' Se *
or personal gam or recognition.
(b) Criteria:
1. Nominee must be an employee of the FBI.
2. Nominee has responded to the needs of a
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fellow FBI employee or the employee's family with an unqualified
willingness to help the employee through a time of personal or family
crisis without regard for their position, age, race, sex or religion.
3. The nominee volunteered time to help a
member of the FBI family solve a personal problem or unsolicited
assistance of a positive nature that aided the employee or their
family.
4. The employee's contributions or assistance
had a significant, positive effect on the resolution of the personal
crisis involved and/or otherwise is clearly recognizable as an action
which others should seek to emulate in the spirit demonstrated by
former Assistant Director DuHadway.
| (14) | The Manuel J. Gonzalez Ethics Award
(a) Description: This award is designed to
recognize Bureau employees who best embody former Assistant Director
Gonzalez's example of unwavering ethical standards, professional
ideals, and reputation for organizational integrity.
(b) Criteria:
1. Nominee must be an employee of the FBI.
2. Eligibility extends to three qualifying
forms of ethical display. One of the following, or combination
thereof, will be deemed suitable:
a. Nominee's FBI career has been '
distinguished by his/her extraordinary commitment to the FBI's code of
conduct in both professional and private life.
AND/ OR
b. Nominee has demonstrated an
extraordinary sense of ethics in overcoming a significant dilemma or
withstanding a specific crisis as it relates to his/her official FBI
duties or employment with the FBI.
AND/OR
c. Through nominee's display of ethical
standards in a specific instance, public trust in the FBI, or law
enforcement in general, has been markedly enhanced or fortified.
3. Nominee has significantly improved the FBI's
internal ethics or standards of conduct program through exceptional
individual effort, contribution, or example.
4. Nominee has substantially enhanced the
federal government's Standards of Ethical Conduct program through
exceptional individual effort, contribution, or example.
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Manl-ID: MAOPP1 MANUAL OF ADMIN OPERATIONS AND PROCEDURES PART 1
5. Nominee has personified the FBI's Core
Values of rigorous obedience to the Constitution, respect for the
dignity of all; compassion; fairness, and uncompromising personal and
institutional integrity through either sustained outstanding
performance of day-to-day duties or special acts.
6. Nominee has substantially improved the
public's perception of the FBI's commitment to individual and
institutional integrity through - exceptional individual effort or
contributions in the community.
**EffDte: 07/19/2002 MCRT#: 1229 Div : D3 Cav: SecCls:
5-25.3 Awards
The first-tier awards will consist of a $5,000 cash award
and a noncash award, i.e., plague, statue, certificate, etc. The
second-tier awards will consist of a $3,000 cash award and a noncash
| award. | (NOTE: Nonwork-related performance recognized under the EEO
| category, e.g., community services, will be recognized with an award
| device only. Work-related performance in this category will be
I recognized with a cash award.) | Provided that the size of a group
receiving one award, e.g., a group award, is not excessive, each
member of the group will receive the full cash amount of the award.
If the size of the group is deemed excessive, the selection panel
will make a recommendation on the size of the award for each member
of the group, based on what is reasonable and the circumstances at
hand. A noncash award will be presented for the Thomas E. DuHadway
Humanitarian Award and the Manuel J. Gonzalez Ethics Award; however,
in keeping with the nature of these awards, there will be no
accompanying monetary recognition.
**EffDte: ' 01/29/1999 MCRT#: 855 Div: D3 Cav: SecCls:
5-25.4 Nominations
Nominations will be made by the heads of FBI field and
FBIHQ divisions/offices. Each nomination must be submitted via a
cover page which contains the personal endorsement of the
division/office head. Nominations arising from investigative work
must also be endorsed by the appropriate United States Attorney or
responsible department. Where participation in an investigation is
the primary basis for a nomination, the strongest background and
support can be derived from cases which have been adjudicated through
the initial trial phase. However, in recognition of the delays which
are inevitable in bringing some cases to trial, nominators should, at
a minimum, carefully consider and include a brief assessment of the
expected outcomes for nominations supported by investigations which
have yet to be adjudicated.
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(1) When an of f ice- nominates an employee from another FBI
division or field office, the nominating office must include a brief
statement noting concurrence from the nominee's division/office head.
Nominators are urged to consider all well-qualified individuals in
order to contribute toward a proper representation of employees at
all levels in both the support and Agent career paths.
(2) Division/office heads may submit a limit of one
nomination for each category. Nominations shall be individually
typed on plain bond paper, single-spaced, and must not exceed five
pages in length. All pages must be headed with the name of the
award, the nominee's official Bureau name and title, Social Security
Number, grade, and office of assignment.
(3) A one paragraph synopsis of the achievement ( s) upon
which the nomination is based must be included. The synopsis should
be concise, descriptive, and fully outline the outstanding
achievement (s ) related to the award for which the employee is
nominated. It should be written with the assumption that the nominee
will be selected for the award,, and the paragraph will appear in
briefing material and/or an awards program booklet for public
dissemination.
(4) Newspaper articles and/or other forms of supporting
material may be submitted; however, the selection panel reserves the
right to not review this material in their deliberations dependent
upon the overall, volume of information received.
| (5) Nominees must have received | a Meets Expectations
| rating | on their last Performance Appraisal Report. Ordinarily, an
employee who is the subject of a pending administrative inquiry which
could result in disciplinary action should not be recommended for an
award.
(6) Submit all nominations to the Performance,
| Recognition and Awards Unit (PRAU) , [Administrative Services |
Division, FBIHQ, except the following:
(a) Nominations from Legal Attache Offices are to
| be forwarded to the | Office of International Operations | for initial
screening and approval before submission to the PRAU.
(b) Nominations containing details of national
security investigation (s ) /matter (s) must be forwarded to the Deputy
| Assistant Director , | Counterintelligence | Division, Room 4012, FBIHQ,
for preliminary review.
**EffDte: 07/19/2002 MCRT#: 1229 Div : D3 Cav: Seeds :
5-25.5 Selection Process
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An awards selection panel composed of representatives,
both Agent and support, of FBI Headquarters and the field will be
convened by the Assistant Director of the | Administrative Services |
Division to review the nominations and make final recommendations to
the Director. Those nominated for first-tier awards will
automatically be considered for second-tier awards should they not be
selected for a first-tier award. Likewise, those nominated for
second-tier awards will automatically be considered for a first-tier
award. Nominees will also be eligible for consideration in other
categories within the same tier if they meet the criteria of the
respective category. The final decision will be made by the Director
based on the recommendations made by the selection panel.
**EffDte: 07/19/2002 MCRT#: 1229 Div : D3 Cav: SecCls:
5-25.6 Ceremony
An annual awards ceremony will be held in the Bonaparte
Auditorium in the J. Edgar Hoover F.B.I. Building, followed by a
reception in the recipients' honor. The Director will preside over
the ceremony which will be attended by representatives of the
recipients' office of assignment and FBI executives. Recipients and
one immediate family member each will attend the ceremony on
reimbursable travel expenses; however, the recipients will be allowed
to invite | any | other | family members, | guests, | and Bureau employees of
their choosing. |
**EffDte: 02/29/1996 MCRT#: 495 Div: D3 Cav: SecCls:
************************************* END OF REPORT *****************************
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